CFR 2011 Title4 Vol1 PDF

Title 4
Accounts
Revised as of January 1, 2011
Containing a codification of documents

of general applicability and future effect
As of January 1, 2011
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
erowe on DSK5CLS3C1PROD with CFR
VerDate Mar<15>2010 10:43 Feb 08, 2011 Jkt 223007 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Y:\SGML\223007.XXX 223007
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Table of Contents
Page
Explanation ................................................................................................ v
Title 4:
Chapter I—Government Accountability Office ................................ 3
Chapter II—Recovery Accountability and Transparency Board ..... 101
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 123
Alphabetical List of Agencies Appearing in the CFR ......................... 143
List of CFR Sections Affected ............................................................. 153

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 4 CFR 2.1
refers to title 4, part 2,
section 1.
iv
Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44
U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues
of the Federal Register. These two publications must be used together to deter-
mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date
(in this case, January 1, 2011), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which ap-
pears in the Reader Aids section of the daily Federal Register. These two lists
will identify the Federal Register page number of the latest amendment of any
given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg-
ister since the last revision of that volume of the Code. Source citations for
the regulations are referred to by volume number and page number of the Federal
Register and date of publication. Publication dates and effective dates are usu-
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the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
to display an OMB control number with their information collection request.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on the cover
of each volume are not carried. Code users may find the text of provisions in
effect on a given date in the past by using the appropriate numerical list of
sections affected. For the period before January 1, 2001, consult either the List
of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published
in eleven separate volumes. For the period beginning January 1, 2001, a ‘‘List
of CFR Sections Affected’’ is published at the end of each CFR volume.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal
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INCORPORATION BY REFERENCE
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(a) The incorporation will substantially reduce the volume of material pub-
lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to
afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in
accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any
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CFR INDEXES AND TABULAR GUIDES
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vi
The Federal Register Index is issued monthly in cumulative form. This index
is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Register.
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revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
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Code of Federal Regulations.
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Director,
Office of the Federal Register.
January 1, 2011.
vii
THIS TITLE
Title 4—ACCOUNTS is composed of one volume. This volume contains chapter

I—Government Accountability Office (GAO) and chapter II—Recovery Account-
ability and Transparency Board. The contents of this volume represent all cur-
rent regulations codified under this title of the CFR as of January 1, 2011.
For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L. White, as-
sisted by Ann Worley.
ix
Title 4—Accounts
Part
CHAPTER I—Government Accountability Office ..................... 2

CHAPTER II—Recovery Accountability and Transparency
Board .................................................................................. 200
CHAPTER I—GOVERNMENT ACCOUNTABILITY
OFFICE
EDITORIAL NOTE: Nomenclature changes to chapter I appear at 70 FR 17583, Apr. 7, 2005.
SUBCHAPTER A—PERSONNEL SYSTEM
Part Page
2 Purpose and general provision ................................ 5
3 Employment ............................................................ 7
4 Employee performance and utilization ................... 7
5 Compensation .......................................................... 9
6 Attendance and leave .............................................. 11
7 Personnel relations and services ............................. 11
8 Insurance and annuities .......................................... 16
9 Senior Executive Service ........................................ 16
11 Recognition of attorneys and other representatives 17
SUBCHAPTER B—GENERAL PROCEDURES
21 Bid protest regulations ........................................... 18

22 Rules of procedure of the Government Account-
ability Office Contract Appeals Board ................. 26
25 Conduct in the Government Accountability Office
building and on its grounds .................................. 43
27 Government Accountability Office Personnel Ap-
peals Board; Organization .................................... 46
28 Government Accountability Office Personnel Ap-
peals Board; Procedures applicable to claims
concerning employment practices at the Govern-
ment Accountability Office .................................. 47
4 CFR Ch. I (1–1–11 Edition)
Part Page
29 [Reserved]
SUBCHAPTERS C–D [RESERVED]
SUBCHAPTER E—STANDARDIZED FISCAL PROCEDURES
75 Certificates and approvals of basic vouchers and

invoices ................................................................ 82
SUBCHAPTER F—RECORDS
81 Public availability of Government Accountability

Office records ....................................................... 83
82 Furnishing records of the Government Account-
ability Office in judicial proceedings ................... 86
83 Privacy procedures for personnel records ............... 87
SUBCHAPTER G [RESERVED]
SUBCHAPTER A—PERSONNEL SYSTEM
PART 2—PURPOSE AND GENERAL promoted, rewarded, and retained on

PROVISION the basis of individual ability and fit-
ness for employment without regard to
Sec. race, color, sex, religion, age, or na-
2.1 Purpose, scope, and applicability. tional origin. Central to this principle
2.2 References. is the protection of employees from
2.3 GAO Personnel Appeals Board. discrimination, improper political in-
2.4 Merit system principles. fluence and personal favoritism.
2.5 Prohibited personnel practices. (b) Equal employment opportunity is
2.6 Veterans’ preference. an integral part of every merit system.
AUTHORITY: 31 U.S.C. 732. Affirmative action plans, designed to
SOURCE: 45 FR 68375, Oct. 15, 1980, unless provide a work force reflective of the
otherwise noted. Nation’s diversity, must assure that
both in operation and results the merit
§ 2.1 Purpose, scope, and applicability. system reflects equal opportunity at
(a) This regulation establishes and every step of the personnel process.
sets forth the basic policy for the Gov- (c) GAO personnel systems shall em-
ernment Accountability Office (GAO) body the following merit system prin-
personnel system. Personnel manage- ciples:
ment is a primary responsibility of all (1) Recruitment should be from quali-
who plan, direct, or supervise the work fied individuals from appropriate
of employees. The objective of per- sources in an endeavor to achieve a
sonnel management is to contribute to work force from all segments of soci-
the effective accomplishment of GAO’s ety, and selection and advancement
mission through proper acquisition, de- should be determined solely on the
velopment, fair treatment, motivation, basis of relative ability, knowledge,
compensation and productive utiliza- and skills, after fair and open competi-
tion f employees. tion which assures that all receive
(b) Nothing in this regulation pro- equal opportunity.
hibits or restricts any lawful effort to (2) All employees and applicants for
achieve equal employment opportunity employment should receive fair and eq-
through affirmative action. uitable treatment in all aspects of per-
sonnel management without regard to
§ 2.2 References. political affiliation, race, color, reli-
(a) Subchapters III and IV of Chapter gion, national origin, sex, marital sta-
7 of Title 31 U.S.C. tus, age, or handicapping condition,
(b) Title 5, United States Code. and with proper regard for their pri-
vacy and constitutional rights.
[45 FR 68375, Oct. 15, 1980, as amended at 47
(3) Equal pay should be provided for
FR 56979, Dec. 22, 1982]
work of substantially equal value, with
§ 2.3 GAO Personnel Appeals Board. appropriate consideration of both na-
tional and local rates paid by employ-
The Government Accountability Of-
ers in the private sector, and appro-
fice Personnel Appeals Board is estab-
priate incentives and recognition
lished by 31 U.S.C. 751. This board will
should be provided for excellence in
promulgate regulations providing for
performance.
employee appeals and establishing its
(4) All employees should maintain
operating procedures.
high standards of integrity, conduct,
[47 FR 56979, Dec. 22, 1982] and concern for the public interest.
(5) The work force should be used ef-
§ 2.4 Merit system principles. ficiently and effectively.
(a) Merit personnel systems are based (6) Employees should be retained on
on the principle that an organization is the basis of the adequacy of their per-
best served by motivated, competent, formance, inadequate performance
honest and productive workers. In a should be corrected, and employees

merit system, employees are hired, should be separated who cannot or will
§ 2.5 4 CFR Ch. I (1–1–11 Edition)
not improve their performance to meet consideration for any personnel action
required standards. unless such recommendation or state-
(7) Employees should be provided ef- ment is based on the personal knowl-
fective education and training in cases edge or records of the person furnishing
in which such education and training it and consists of—
would result in better organizational (1) An evaluation of the work per-
and individual performance. formance, ability, aptitude, or general
(8) Employees should be protected qualifications of such individual, or
against arbitrary action, personal fa-
(2) An evaluation of the character,
voritism, or coercion from partisan po-
loyalty, or suitability of such indi-
litical purposes and prohibited from
vidual.
using their official authority or influ-
ence for the purpose of interfering with (c) Political activity. GAO employees
or affecting the results of an election shall not coerce the political activity
or a nomination for election. of any person (including the providing
(9) Employees should be protected of any political contribution or serv-
against reprisal for the lawful disclo- ice), or take any action against any
sure of information which the em- employee or applicant for employment
ployee reasonably believes evidences: a as a reprisal for the refusal of any per-
violation of any law, rule or regula- son to engage in such political activ-
tion; or mismanagement, a gross waste ity.
of funds, an abuse of authority, or a (d) Compete for employment. GAO em-
substantial and specific danger to pub- ployees shall not deceive or willfully
lic health or safety. obstruct any person with respect to
such person’s right to compete for em-
§ 2.5 Prohibited personnel practices.
ployment.
Any GAO employee who has author- (e) Influencing competition. GAO em-
ity to take, direct others to take, rec- ployees shall not influence any person
ommend, or approve any personnel ac- to withdraw from competition for any
tion, shall not, with respect to such au- position for the purpose of improving
thority engage in the following prohib-
or injuring the prospects of any other
ited personnel practices.
person for employment.
(a) Discrimination. GAO employees
shall not discriminate for or against (f) Preference or advantage. GAO em-
any employee or applicant for employ- ployees shall not grant any preference
ment— or advantage not authorized by law,
(1) On the basis of race, color, reli- rule, or regulation to any employee or
gion, sex, or national origin, as prohib- applicant for employment (including
ited under section 717 of the Civil defining the scope or manner of com-
Rights Act of 1964 (42 U.S.C. 2000 e–16); petition or the requirements for any
(2) On the basis of age, as prohibited position) for the purpose of improving
under section 12 and 15 of the Age Dis- or injuring the prospects of any par-
crimination in Employment Act of 1967 ticular person for employment.
(29 U.S.C. 631, 633a); (g) Relatives. GAO employees who are
(3) On the basis of sex, as prohibited serving as public officials (as defined in
under section 6(d) of the Fair Labor section 3110(a)(2) of title 5, United
Standards Act of 1938 (29 U.S.C. 206(d)); States Code) shall not appoint, employ,
(4) On the basis of handicapping con- promote, advance, or advocate for ap-
dition, as prohibited under section 501 pointment, employment, promotion, or
of the Rehabilitation Act of 1973 (29 advancement, in or to a GAO position
U.S.C. 791); or any individual who is a relative (as de-
(5) On the basis of marital status or
fined in section 3110(a)(3) of title 5, U.S.
political affiliation, as prohibited
Code) of such employee.
under any law, rule, or regulation.
(b) Recommendations or statements. (h) Reprisals. GAO employees shall
GAO employees shall not solicit or con- not take or fail to take a personnel ac-
sider any recommendation or state- tion with respect to any employee or
ment, oral or written, with respect to applicant for employment as a reprisal

any individual who requests or is under for—
Government Accountability Office Pt. 4
(1) A disclosure of information by an tion from the Congress or the taking of

employee or applicant which the em- any personnel action against an em-
ployee or applicant reasonably believes ployee who discloses information to
evidences— the Congress.
(i) A violation of any law, rule, or
regulation, or § 2.6 Veterans’ preference.
(ii) Mismanagement, a gross waste of (a) GAO will provide preference, for
funds, an abuse of authority, or a sub- any individual who would be a pref-
stantial and specific danger to public erence eligible in the executive branch,
health or safety, if such disclosure is in a manner and to an extent con-
not specifically prohibited by law and sistent with preference eligibles in the
if such information is not specifically executive branch.
required by Executive order to be kept (b) Appeals from preference decisions
secret in the interest of national de- will be heard by the GAO Personnel
fense or the conduct of foreign affairs; Appeals Board.
or
(2) A disclosure to the General Coun- PART 3—EMPLOYMENT
sel of the GAO Personnel Appeals
Board of information which the em- Sec.
ployee or applicant reasonably believes 3.1 Appointment, promotion, and assign-
evidences— ment.
(i) A violation of any law, rule, or 3.2 Oath of office.
regulation, or 3.3 Assignments to and from States.
(ii) Mismanagement, a gross waste of AUTHORITY: 31 U.S.C. 732.
funds, an abuse of authority, or a sub- SOURCE: 45 FR 68376, Oct. 15, 1980, unless
stantial and specific danger to public otherwise noted.
health or safety.
(i) Reprisals for appeals. GAO employ- § 3.1 Appointment, promotion, and as-
ees shall not take or fail to take any signment.
personnel action against any employee Employees of GAO shall be ap-
or applicant for employment as a re- pointed, promoted and assigned solely
prisal for the exercise of any appeal on the basis of merit and fitness, but
right granted by any law, rule, or regu- without regard to the provisions of
lation. title 5, United States Code, governing
(j) Discrimination for conduct. GAO appointments and other personnel ac-
employees shall not discriminate for or tions in the competitive service.
against any employee or applicant for
employment on the basis of conduct § 3.2 Oath of office.
which does not adversely affect the The provisions of subchapter II of
performance of the employee or appli- chapter 33 of title 5, U.S. Code, and Of-
cant or the performance of others; ex- fice of Personnel Management imple-
cept that nothing in this paragraph menting regulations apply to Govern-
shall prohibit an agency from taking ment Accountability Office employees.
into account in determining suitability
or fitness any conviction of the em- § 3.3 Assignments to and from States.
ployee or applicant for any crime under The provisions of subchapter VI of
the laws of any State, or the District of chapter 33 of title 5, U.S. Code, and Of-
Columbia, or of the United States. fice of Personnel Management imple-
(k) Other personnel actions. GAO em- menting regulations apply to Govern-
ployees shall not take or fail to take ment Accountability Office employees.
any other personnel action if the tak-
ing of or failure to take such action PART 4—EMPLOYEE PERFORMANCE
violates any law, rule or regulation im-
plementing, or directly concerning, the
AND UTILIZATION
merit system principles described in
Sec.
§ 2.4. 4.1 Training.
(l) Information to the Congress. Noth-
4.2 Performance appraisal.

ing in this section shall be construed to 4.3 Removal for unacceptable performance.
authorize the withholding of informa- 4.4 Incentive awards.
§ 4.1 4 CFR Ch. I (1–1–11 Edition)
AUTHORITY: 31 U.S.C. 732. performance in accordance with the
SOURCE: 45 FR 68376, Oct. 15, 1980, unless provisions of this section.
otherwise noted. (a) Employee entitlement. A GAO em-
ployee whose reduction in grade/pay
§ 4.1 Training. level or removal is proposed under this
The provisions of chapter 41, of title section is entitled to—
5, United States Code, and Office of (1) An advance written notice of the
Personnel Management implementing proposed action which identifies—
regulations apply to Government Ac- (i) Specific instances of unacceptable
countability Office employees. performance by the employee on which
the proposed action is based; and
§ 4.2 Performance appraisal. (ii) The critical elements of the em-
(a) The GAO shall develop one or ployee’s position involved in each in-
more performance appraisal systems stance of unacceptable performance.
which provide for periodic appraisals of (2) Be represented by an attorney or
job performance of employees; encour- other representative.
ages employee participation in estab- (3) A reasonable time to answer oral-
lishing performance standards; and ly and in writing.
uses the results of performance ap- (4) A written decision which—
praisal as a basis for training, reward- (i) Specifies the instances of unac-
ing, reassigning, promoting, reducing ceptable performance by the employee
in grade, retaining, and removing em- on which the reduction in grade/pay
ployees. level or removal is based.
(b) Each performance appraisal sys- (ii) Unless proposed by the Comp-
tem shall provide for— troller General or by a senior manager
(1) Establishing performance stand- (e.g., the Deputy Comptroller General,
ards which will, to the maximum ex- an Assistant Comptroller General, or a
tent feasible, permit the accurate eval- Division or Office Director) has been
uation of job performance on the basis concurred in by an employee who is in
of job-related criteria (which may in- a higher position than the employee
clude the extent of courtesy dem- who proposed the action.
onstrated to the public) for each GAO (b) Decisions to retain, reduce in grade/
employee. pay level or remove. The decision to re-
(2) As soon as practicable, but not tain, reduce in grade or remove a GAO
later than October 1, 1981, with respect employee—
to initial appraisal periods, and there- (1) Shall be made within 30 days after
after at the beginning of each following the date of expiration of the notice pe-
appraisal period, communicating to riod, and
reach GAO employee the performance (2) In the case of reduction in grade/
standards and the critical elements of pay level or removal, may be based
the employee’s position. only on those instances of unaccept-
(3) Annually evaluating each em- able performance by the employee—
ployee during the appraisal period on (i) Which occurred during the 1-year
such standards. period ending on the date of the notice
(4) Recognizing and rewarding em- of the proposed action.
ployees whose performance so war- (ii) For which the notice and other
rants. requirements of this section are com-
(5) Assisting employees in improving plied with.
unacceptable performance. (c) Performance improvement. If be-
(6) Reassigning, reducing in grade, or cause of performance improvement by
removing employees who continue to the employee during the notice period,
have unacceptable performance but the employee is not reduced in grade/
only after an opportunity to dem- pay level or removed, and the employ-
onstrate acceptable performance. ee’s performance continues to be ac-
ceptable for 1 year from the date of ad-
§ 4.3 Removal for unacceptable per- vance written notice, any records shall
formance. be retained only as prescribed by other
GAO may reduce in grade/pay level or recordkeeping requirements, such as

remove an employee for unacceptable grievances, adverse action appeals, or
Government Accountability Office § 5.2
discrimination complaints. In these (3) Pay rates be comparable with pri-

circumstances any entry or notation of vate enterprise pay rates for the same
unacceptable performance shall be re- levels of work.
moved from the employee’s official per- (4) Pay levels be interrelated to the
sonnel folder and maintained in sepa- General Schedule.
rate files to be used only in connection (b) Pay rates. (1) The Comptroller
with an employee initiated complaint. General shall publish a schedule of pay
(d) Appeals. A GAO employee who has rates which shall apply to GAO em-
been reduced in grade/pay level or re- ployees. Except as provided in para-
moved under this section is entitled to graph (b) (2) of this section, and regula-
appeal the action to the GAO Per- tions for the GAO Senior Executive
sonnel Appeals Board. Service, the highest rate under such
(e) Nonapplicability. This section does schedule shall not exceed the highest
not apply to— rate of basic pay payable for grade GS–
(1) The reduction to the grade/pay 15 under the General Schedule.
level previously held of a supervisor or (2) Such schedule may provide for
manager who has not completed the rates which do not exceed the max-
trial period. imum rate payable for grade GS–18 of
(2) The reduction in grade/pay level the General Schedule for up to one
or removal of a GAO employee who is hundred employees, reduced by the
serving a trial period under an initial number of employees who are in the
appointment or who has not completed GAO Senior Executive Service, other
1 year of current continuous employ- than those in such service pursuant to
ment under other than a temporary ap- 31 U.S.C. 733(c).
pointment limited to 1 year or less. (c) Pay adjustments. Except as pro-
(3) Employees in the GAO Senior Ex- vided in regulations for the GAO Sen-
ecutive Service. ior Executive Service and the Merit
Pay System, the pay of GAO employees
§ 4.4 Incentive awards. shall be adjusted at the same time and
The provisions of chapter 45 of title 5, to the same extent as rates of basic pay
United States Code and Office of Per- are adjusted for the General Schedule.
sonnel Management implementing reg-
[45 FR 68377, Oct. 15, 1980, as amended at 47
ulations apply to Government Ac- FR 56979, Dec. 22, 1982]
countability Office employees.
§ 5.2 Grade and pay retention.
PART 5—COMPENSATION (a) Change of positions. Any GAO em-
ployee who is placed in a lower grade
Sec. position as a result of a reduction-in-
5.1 Pay. force may be entitled to the retained
5.2 Grade and pay retention.
grade of the higher position he or she
5.3 Merit pay.
5.4 Pay administration. previously held. The employee receives
5.5 Travel, transportation, and subsistence. this entitlement (which is for a period
5.6 Allowances. of 2 years) if he or she has served for at
least 52 consecutive weeks in one or
AUTHORITY: 31 U.S.C. 732.
more positions at a grade or grades
SOURCE: 45 FR 68377, Oct. 15, 1980, unless higher than the new position. The 2-
otherwise noted. year period begins on the date of place-
ment to the lower grade position.
§ 5.1 Pay. (b) Reclassification. Any GAO em-
(a) Pay principles. Pay of the employ- ployee who is in a position which is re-
ees of GAO shall be fixed by the Comp- duced in grade is entitled to have the
troller General consistent with the grade of such position before reduction
principles that— be treated as the retained grade of such
(1) There be equal pay for work of employee for the 2-year period begin-
substantially equal value. ning on the date of reduction in grade.
(2) Pay distinctions be maintained in However, this section shall not apply
keeping with work and performance to any reduction in the grade of a posi-
distinctions. tion which had not been classified at
§ 5.3 4 CFR Ch. I (1–1–11 Edition)
the higher grade for a continuous pe- (2) 150 percent of the maximum rate
riod of at least 1 year immediately be- of basic pay payable for the grade of
fore such reduction. the employee’s position immediately
(c) Retained grade. For the 2-year pe- after such reduction in pay.
riod referred to in paragraphs (a) and (g) Termination of retained pay. The
(b) of this section, the retained grade of pay retention provisions in § 5.2(e) shall
GAO employees shall be treated as the cease to apply to a GAO employee
grade of the employee’s position for all who—
purposes (including pay and pay admin- (1) Has a break in service of 1 work-
istration, retirement, life insurance day or more.
and eligibility for training and pro- (2) Is entitled by operation of §§ 5.1,
motion) except— 5.2, and 5.3 to a rate of basic pay which
(1) For purposes of § 5.2(a). is equal to or higher than, or declines
(2) For purposes of applying any re- a reasonable offer of a position the rate
duction-in-force procedures. of basic pay for which is equal to or
(3) For purposes of determining higher than, the rate to which the em-
whether the employee is covered by a ployee is entitled under § 5.2(e); or
merit pay system. (3) Is demoted for personal cause or
(4) For such other purposes as the at the employee’s request.
Comptroller General may provide by (h) Remedial actions. Under regula-
regulation. tions prescribed by the Comptroller
General, Personnel shall—
(d) Termination of retained grade. The
(1) Obtain and make available to em-
foregoing provisions of this section
ployees receiving benefits under this
shall cease to apply to any GAO em-
section, information on vacancies in
ployee who—
other Federal agencies.
(1) Has a break in service of 1 work- (2) Take such steps as may be appro-
day or more; priate to assure employees receiving
(2) Is demoted for personal cause or benefits under this section have the op-
at the employee’s request; portunity to obtain necessary quali-
(3) Is placed in, or declines, a reason- fications for the selection to positions
able offer of, a position the grade of which would minimize the need for the
which is equal or higher than the re- application of this section; and
tained grade; or (3) Establish a program under which
(4) Elects in writing to have the bene- employees receiving benefits under this
fits of this chapter terminate. section are given priority in the con-
(e) Pay retention. (1) Any GAO em- sideration for or placement in positions
ployee: who ceases to be entitled to a which are equal to their retained grade
retained grade by reason of the expira- or pay.
tion of the 2-year period; or who (but (i) Appeals. In the case of the termi-
for this paragraph) would be subject to nation of any benefits to a GAO em-
a reduction in pay under circumstances ployee under this section on the
prescribed by the Comptroller General grounds that such employee declined a
by regulation to warrant the applica- reasonable offer of a position the grade
tion of this paragraph is entitled to— or pay of which was equal to or greater
(2) Basic pay at a rate equal to the than their retained grade or pay, after
employee’s allowable former rate of administrative remedies have been ex-
basic pay, plus 50 percent of the hausted, such termination may be ap-
amount of each increase in the max- pealed to the GAO Personnel Appeals
imum rate of basic pay payable for the Board under procedures prescribed by
employee’s position immediately after the Board.
such reduction in pay if such allowable
former rate exceeds such maximum § 5.3 Merit pay.
rate for such grade. The Comptroller General may pro-
(f) ‘‘Allowable former rate of basic pay.’’ mulgate regulations establishing a
This means the lower of— merit pay system for such employees of
(1) The rate of basic pay payable to the Government Accountability Office
the employee immediately before the as the Comptroller General considers

reduction in pay; or appropriate. The merit pay system
10
shall be designed to carry out purposes hours of work, annual leave, sick leave,
consistent with those set forth in sec- and other paid leave.
tion 5401(a) of title 5, United States [45 FR 68378, Oct. 15, 1980, as amended at 47
Code, which provides— FR 56979, Dec. 22, 1982]
§ 5401. Purpose
(a) It is the purpose of this chapter to pro- PART 7—PERSONNEL RELATIONS
vide for— AND SERVICES
(1) A merit pay system which shall—
(A) Within available funds, recognize and Sec.
reward quality performance by varying 7.1 Labor management relations.
merit pay adjustments; 7.2 Equal employment opportunity.
(B) Use performance appraisals as the basis 7.3 Political activities.
for determining merit pay adjustments; 7.4 Employment limitations, foreign gifts
(C) Within available funds, provide for and decorations, and misconduct.
training to improve objectivity and fairness 7.5 Adverse actions: Suspensions for 14 days
in the evaluation of performance; and or less.
(D) Regulate the costs of merit pay by es- 7.6 Adverse actions: Removal, suspension
for more than 14 days, reduced in grade,
tablishing appropriate control techniques;
reduced in pay or furloughed for 30 days
and
or less.
(2) A cash award program which shall pro- 7.7 Other appeals and grievances.
vide cash awards for superior accomplish- 7.8 Services to employees.
ment and special service.
§ 5.4 Pay administration. SOURCE: 45 FR 68378, Oct. 15, 1980, unless
The provisions of chapter 55 of title 5, otherwise noted.
U.S. Code and the Office of Personnel § 7.1 Labor management relations.
Management implementing regulations
apply to Government Accountability (a) Policy. Each employee of GAO has
Office employees. the right, freely and without fear of
penalty or reprisal, to form, join, or as-
§ 5.5 Travel, transportation, and sub- sist an employee organization, or to re-
sistence. frain from such activity.
(b) Labor relations program. A labor
The provisions of chapter 57 of title 5, relations program consistent with
U.S. Code and the implementing regu- chapter 71 of title 5, United States
lations for the Executive Branch apply Code will be developed for the Govern-
to Government Accountability Office ment Accountability Office.
employees.
§ 7.2 Equal employment opportunity.
§ 5.6 Allowances. (a) Policy. All personnel actions af-
The provisions of chapter 59 of title 5, fecting employees or applicants for em-
U.S. Code and the implementing regu- ployment in GAO shall be taken with-
lations for the Executive Branch apply out regard to race, color, religion, age,
to Government Accountability Office sex, national origin, political affili-
employees. ation, marital status or handicapping
condition.
(b) Equal opportunity recruiting pro-
PART 6—ATTENDANCE AND LEAVE gram. GAO shall conduct continuing
programs for the recruitment of mem-
AUTHORITY: 31 U.S.C. 732. bers of minorities and women for posi-
tions in GAO in a manner designed to
§ 6.1 Applicable law and regulations. eliminate underrepresentation of mi-
The provision of subpart E, title 5, norities and women in the various cat-
United States Code and the Office of egories of employment in GAO. Special
Personnel Management implementing efforts will be directed at recruiting in
minority communities, in educational
regulations regarding ‘‘Attendance and
institutions, and from other sources
Leave’’ apply to Government Account-

from which minorities can be re-
ability Office employees. This includes
cruited. GAO will conduct a continuing
11
§ 7.3 4 CFR Ch. I (1–1–11 Edition)
program of evaluation and oversight of ment or agency conducts official busi-

such recruiting programs to determine ness, including, but not limited to, of-
their effectiveness in eliminating mi- fice buildings, forts, arsenals, navy
nority and women underrepresenta- yards, post offices, vehicles, ships, and
tion. aircraft.
(c) Statutory rights and remedies. Noth- (6) Nonpartisan election means—
ing in this order shall be construed to (i) An election at which none of the
abolish or diminish any right or rem- candidates is to be nominated or elect-
edy granted to employees of or applied as representing a political party any
cants for employment in GAO— of whose candidates for presidential
(1) By section 717 of the Civil Rights elector received votes in the last pre-
Act of 1964 (42 U.S.C. 2000e–16); ceding election at which presidential
(2) By sections 12 and 15 of the Age electors were selected; and
Discrimination in Employment Act of (ii) An election involving a question
1967 (29 U.S.C. 631, 633a); or issue which is not specifically iden-
(3) By section 6(d) of the Fair Labor tified with a political party, such as a
Standards Act of 1938 (29 U.S.C. 206(d)); constitutional amendment, ref-
(4) By sections 501 and 505 of the Re- erendum, approval of a municipal ordi-
habilitation Act of 1973 (29 U.S.C. 791, nance, or any question or issue of a
794a); or similar character.
(5) By any other law prohibiting dis- (7) Partisan when used as an adjective
crimination in Federal employment on refers to a political party.
the basis of race, color, religion, age, (8) Political fund means any fund, or-
sex, national origin, political affili- ganization, political action committee,
ation, marital status or handicapping or other entity that, for purposes of in-
condition. fluencing in any way the outcome of
(d) Authorities granted thereunder to any partisan election, receives or ex-
the Equal Employment Opportunity pends money or anything of value or
Commission, Office of Personnel Man- transfers money or anything of value
agement, the Merit Systems Protec- to any other fund, political party, can-
tion Board, or any other agency in the didate, organization, political action
executive branch concerning oversight committee, or other entity.
and appeals shall be exercised by the (9) Political party means a national
GAO Personnel Appeals Board. Other political party, a state political party,
responsibilities shall be exercised by and an affiliated organization.
the Comptroller General. (b) All employees are free to engage
in political activity to the widest ex-
§ 7.3 Political activities. tent consistent with the restrictions
(a) In this section: imposed by law and this section. Each
(1) Contribution means any gift, sub- employee retains the right to—
scription, loan, advance, deposit of (1) Register and vote in any election;
money, allotment of money, or any- (2) Express his opinion as an indi-
thing of value given or transferred by vidual privately and publicly on polit-
one person to another, including in ical subjects and candidates;
cash, by check, by draft, through a (3) Display a political picture, stick-
payroll deduction or allotment plan, by er, badge, or button;
pledge or promise, whether or not en- (4) Participate in the nonpartisan ac-
forceable, or otherwise. tivities of a civic, community, social,
(2) Election includes a primary, spe- labor, or professional organization, or
cial, and general election. of a similar organization;
(3) Employee means an individual who (5) Be a member of a political party
occupies a position in the Government or other political organization and par-
Accountability Office. ticipate in its activities to the extent
(4) Employer or employing authority consistent with law;
means the Comptroller General, his (6) Attend a political convention,
principals, or an employee’s supervisor. rally, fund-raising function, or other
(5) Federal workplace means any political gathering;
place, site, installation, building, (7) Sign a political petition as an in-

room, or facility in which any depart- dividual;
12
(8) Make a financial contribution to a (2) Organizing or reorganizing a polit-

political fund, political party, or orga- ical party organization or political
nization; club;
(9) Take an active part, as an inde- (3) Directly or indirectly soliciting,
pendent candidate, or in support of an receiving, collecting, handling, dis-
independent candidate in a partisan bursing, or accounting for assessments,
election covered by paragraphs (h), (i), contributions, or other funds for a par-
and (j) of this section; tisan political purpose;
(10) Take an active part, as a can- (4) Organizing, selling tickets to, pro-
didate or in support of a candidate, in moting, or actively participating in a
a nonpartisan election; fund-raising activity of a candidate in
(11) Be politically active in connec- a partisan election or of a political
tion with a question which is not spe- party, or political club;
cifically identified with a political (5) Taking an active part in man-
party, such as a constitutional amend- aging the political campaign of a can-
ment, referendum, approval of a mu- didate for public office in a partisan
nicipal ordinance or any other question
election or a candidate for political
or issue of a similar character;
party office;
(12) Serve as an election judge or
(6) Becoming a candidate for, or cam-
clerk, or in a similar position to per-
form nonpartisan duties as prescribed paigning for, an elective public office
by state or local law; and in a partisan election;
(13) Otherwise participate fully in (7) Soliciting votes in support of or in
public affairs, except as prohibited by opposition to a candidate for public of-
law, in a manner which does not mate- fice in a partisan election or a can-
rially compromise his/her efficiency or didate for political party office;
integrity as an employee or the neu- (8) Acting as recorder, watcher, chal-
trality, efficiency, or integrity of the lenger, or similar officer at the polls on
agency. behalf of a political party or a can-
(c) Paragraph (b) of this section does didate in a partisan election;
not authorize an employee to engage in (9) Driving voters to the polls on be-
political activity in violation of law, half of a political party or a candidate
while on duty. The Comptroller Gen- in a partisan election;
eral may prohibit or limit the partici- (10) Endorsing or opposing a can-
pation of an employee or class of em- didate for public office in a partisan
ployees in an activity permitted by election or a candidate for political
paragraph (b) of this section, if partici- party office in a political advertise-
pation in the activity would interfere ment, a broadcast, campaign, lit-
with the efficient performance of offi- erature, or similar material;
cial duties, or create a conflict or ap- (11) Serving as a delegate, alternate,
parent conflict of interests.
or proxy to a political party conven-
(d) An employee may not use his/her tion;
official authority or influence for the
(12) Addressing a convention, caucus,
purpose of interfering with or affecting
the result of an election. rally, or similar gathering of a polit-
ical party in support of or in opposition
(e) An employee may not take an ac-
tive part in political management or in to a partisan candidate for public office
a political campaign, except as per- or political party office;
mitted by this section. (13) Initiating or circulating a par-
(f) Activities prohibited by paragraph tisan nominating petition;
(e) of this section include but are not (14) Soliciting, collecting, or receiv-
limited to— ing a contribution at or in the federal
(1) Serving as an officer of a political workplace from any employee for any
party, a member of a national, state, or political party, political fund, or other
local committee of a political party, an partisan recipient;
officer or member of a committee of a (15) Paying a contribution at or in
partisan political club, or being a can- the federal workplace to any employee
didate for any of these positions;
13
§ 7.3 4 CFR Ch. I (1–1–11 Edition)
who is the employer or employing au- Chevy Chase View

thority of the person making the con- College Park
tribution for any political party, polit- Cottage City
District Heights
ical fund, or other partisan recipient;
Edmonston
and Fairmont Heights
(16) Soliciting, paying, collecting, or Forest Heights
receiving a contribution at or in the Garrett Park
federal workplace from any employee Glendarden
for any political party, political fund, Glen Echo
or other partisan recipient. Greenbelt
(g) Paragraph (f) of this section does Howard County
not apply to— Hyattsville
(1) The Comptroller General or the Kensington
Landover Hills
Deputy Comptroller General; Montgomery County
(2) An employee who resides in a mu- Morningside
nicipality or other political subdivision Mount Rainier
designated under paragraph (i), subject New Carrollton
to the conditions of paragraphs (i) and North Beach
(j) of this section; or North Brentwood
(3) An employee who works on an ir- North Chevy Chase
regular or occasional basis, on the days Northwest Park
that he/she performs no services. Prince Georges County
Riverdale
(h) Paragraph (f) of this section does Rockville
not prohibit activity in political man- Seat Pleasant
agement or in a political campaign by Somerset
an employee in connection with— Takoma Park
(1) A nonpartisan election, or University Park
(2) Subject to the conditions and lim- Washington Grove
itations established by the Comptroller
In Virginia
General, an election held in a munici-
pality or political subdivision des- Alexandria
ignated under paragraph (i) of this sec- Arlington County
tion. Clifton
Fairfax County
(i) For the purpose of paragraph (h)(2)
Town of Fairfax
of this section, the Comptroller Gen- Falls Church
eral may designate a municipality or Herndon
political subdivision in Maryland or Loudoun County
Virginia in the immediate vicinity of Manassas
the District of Columbia or a munici- Manassas Park
pality in which the majority of voters Portsmouth
are employed by the Government of the Prince William County
United States, when the Comptroller Stafford County
Vienna
General determines that, because of
special or unusual circumstances, it is Other Municipalities
in the domestic interest of employees Anchorage, AK
to participate in local elections. The Benicia, CA
following municipalities and political Bremerton, WA
subdivisions have been designated: Centerville, GA
Crane, IN
In Maryland District of Columbia
Annapolis Elmer City, WA
Anne Arundel County Huachuca City, AZ
Berwyn Heights New Johnsonville, TN
Bethesda Norris, TN
Bladensburg Port Orchard, WA
Bowie Sierra Vista, AZ
Brentwood Warner Robins, GA
Capitol Heights
(j) An employee who resides in a mu-
Cheverly
Chevy Chase, sections 1, 2, 3, and 4 Martin’s nicipality or political subdivision list-
Additions 1, 2, 3, and 4 to Chevy Chase ed in paragraph (i) of this section may
14
take an active part in political man- thereof if made orally, the notice of de-
agement and political campaigns in cision and reasons therefor, and any
connection with partisan elections for order effecting the suspension, to-
local offices of the municipality or po- gether with any supporting material,
litical subdivision, subject to the fol- shall be maintained by Personnel and
lowing limitations: shall be furnished to the employee af-
(1) Participation in politics shall be fected upon the employee’s request.
as an independent candidate or on be- (d) Nonapplicability. This section is
half of, or in opposition to, an inde- not applicable to—(1) An employee who
pendent candidate. is serving a trial period under an ini-
(2) Candidacy for, and service in, an tial appointment in GAO or who has
elective office shall not result in ne- not completed 1 year of current contin-
glect of or interference with the per- uous employment in the same or simi-
formance of the duties of the employee lar positions in GAO under other than
or create a conflict, or apparent con- a temporary appointment limited to 1
flict, of interests. year or less.
[53 FR 26421, July 13, 1988] (2) A suspension in the interest of na-
tional security.
§ 7.4 Employment limitations, foreign
gifts and decorations, and mis- § 7.6 Adverse actions: Removal, sus-
conduct. pension for more than 14 days, re-
duced in grade, reduced in pay or
The provisions of subchapters II, IV, furloughed for 30 days or less.
and V of chapter 73 of title 5, United
States Code and implementing regula- (a) Policy. A GAO employee may be
tions thereunder continue to apply to removed, suspended for more than 14
this office. days, reduction in grade or pay, or fur-
lough for 30 days or less for such cause
§ 7.5 Adverse actions: Suspensions for as will promote the efficiency of GAO.
14 days or less. Furloughed means placing an employee
(a) Policy. A GAO employee may be in a temporary status without duties
suspended for 14 days or less for such and pay because of lack of work or
cause as will promote the efficiency of funds or other nondisciplinary reasons.
GAO (including discourteous conduct (b) Employee entitlement. An employee
to the public confirmed by an imme- against whom an action is proposed
diate supervisor’s report of four such under this section is entitled to—
instances within any 1-year period or (1) At least 30 days’ advance written
any other pattern of discourteous con- notice, unless there is reasonable cause
duct). Suspension means placing an to believe the employee has committed
employee, for disciplinary reasons, a crime for which a sentence of impris-
temporarily in a status without duties onment may be imposed, stating the
and pay. specific reasons for the proposed ac-
(b) Employee entitlement. An employee tion,
against whom a suspension for 14 days (2) A reasonable time to answer oral-
or less is proposed is entitled to— ly and in writing and to furnish affida-
(1) An advance written notice stating vits and other documents in support of
the specific reasons for the proposed the answer.
action; (3) Be represented by an attorney or
(2) A reasonable time to answer oral- other representative; and
ly and in writing and to furnish affida- (4) A written decision and the specific
vits and other documentary evidence in reasons therefor at the earliest prac-
support of the answer; ticable date.
(3) Be represented by an attorney or (c) Appeals. After administrative
other representative; and remedies have been exhausted, an em-
(4) A written decision and the spe- ployee against whom an action is
cific reasons therefore at the earliest taken under this section is entitled to
practicable date. appeal to the GAO Personnel Appeals
(c) Documentation. Copies of the no- Board.
tice of proposed action, the answer of (d) Documentation. Copies of the no-
the employee if written, a summary tice of proposed action, the answer of
15
§ 7.7 4 CFR Ch. I (1–1–11 Edition)
the employee if written, a summary insurance apply to Government Ac-

thereof when made orally, the notice of countability Office employees.
decision and reasons therefor, and any [45 FR 68380, Oct. 15, 1980, as amended at 47
order affecting an action covered by FR 56979, Dec. 22, 1982]
this section, together with any sup-
porting material, shall be maintained
by Personnel and shall be furnished to
PART 9—SENIOR EXECUTIVE
the GAO Personnel Appeals Board upon SERVICE
its request and to the employee af-
fected upon the employee’s request. AUTHORITY: 31 U.S.C. 733.
(e) Nonapplicability. This section does
not apply to— § 9.1 GAO Senior Executive Service.
(1) Employees who are serving a trial (a) The Comptroller General may
period under an initial appointment or promulgate regulations establishing a
who has not completed 1 year of cur- Government Accountability Office Sen-
rent continuous employment under ior Executive Service which meets the
other than a temporary appointment requirements set forth in section 3131
limited to 1 year or less. of title 5, United States Code, which
(2) A suspension or removal of an em- provides—
ployee in the interests of national se- § 3131 The GAO Senior Executive Service
curity.
The Senior Executive Service shall be ad-
(3) A reduction in force.
ministered so as to—
(4) The reduction in grade of a super- (1) Provide for a compensation system, in-
visor or manager who has not com- cluding salaries, benefits, and incentives,
pleted the probationary period. and for other conditions of employment, de-
(5) A reduction in grade or removal signed to attract and retain highly com-
for unacceptable performance under petent senior executives;
part 4. (2) Ensure that compensation, retention,
and tenure are contingent on executive suc-
(6) An action ordered by the GAO cess which is measured on the basis of indi-
Personnel Appeals Board. vidual and organizational performance (in-
cluding such factors as improvements in effi-
§ 7.7 Other appeals and grievances. ciency, productivity, quality of work or serv-
ice, cost efficiency, and timeliness of per-
The personnel system shall provide
formance and success in meeting equal em-
procedures for the processing of com- ployment opportunity goals);
plaints and grievances which are not (3) Assure that senior executives are ac-
otherwise provided for. countable and responsible for the effective-
ness and productivity of employees under
§ 7.8 Services to employees. them;
(4) Recognize exceptional accomplishment;
The provisions of chapter 79 of title 5,
(5) Enable the head of an agency to reas-
United States Code, and the Office of sign senior executives to best accomplish the
Personnel Management implementing agency’s mission;
regulations apply to Government Ac- (6) Provide for severance pay, early retire-
countability Office employees. ment, and placement assistance for senior
executives who are removed from the Senior
Executive Service for nondisciplinary rea-
PART 8—INSURANCE AND sons;
ANNUITIES (7) Protect senior executives from arbi-
trary or capricious actions;
(8) Provide for program continuity in the
AUTHORITY: 31 U.S.C. 732. management of GAO programs;
(9) Maintain a merit personnel system free
§ 8.1 Applicable law and regulations. of prohibited personnel practices;
The provisions of subpart G, title 5, (10) Ensure accountability for honest, eco-
nomical, and efficient Government;
United States Code and implementing
(11) Ensure compliance with all applicable
regulations for the Executive Branch personnel laws, rules, and regulations, in-
covering compensation for work inju-
cluding those related to equal employment

ries, retirement, unemployment com- opportunity, political activity, and conflicts
pensation, life insurance, and health of interest;
16
(12) Provide for the initial and continuing ring, or otherwise restricting him in
systematic development of highly competent the practice of law, may represent oth-
senior executives;
(13) Provide for an executive system which
ers before the Government Account-
is guided by the public interest and free from ability Office.
improper political interference; and
(14) Appoint career executives to fill Sen- § 11.3 Authority to represent in pay-
ior Executive Service positions to the extent ment cases.
practicable, consistent with the effective and
efficient implementation of agency policies
In the prosecution of claims involv-
and responsibilities. ing payments to be made by the United
States, a proper power of attorney is
(b) Requirements for positions in- required before an attorney or other
cluded in the GAO Senior Executive
representative may be recognized. A
System. The GAO Senior Executive
power of attorney from the principal
Service may include—
(1) The 100 positions authorized by 31 may also be requested in other cases.
U.S.C. 732(c)(4);
§ 11.4 Authority to represent in other
(2) The position of the General Coun- cases.
sel authorized by 31 U.S.C. 731(c);
(3) The 5 positions authorized by 31 When an attorney acting in a rep-
U.S.C. 731(d); and resentative capacity appears in person
(4) The 10 positions authorized by 31 or signs a document submitted to the
U.S.C. 731(e)(2). Government Accountability Office in
[45 FR 68380, Oct. 15, 1980, as amended at 47 connection with a matter other than
FR 56979, Dec. 22, 1982] one involving a payment to be made by
the United States, his personal appear-
PART 11—RECOGNITION OF AT- ance or signature shall constitute a
TORNEYS AND OTHER REP- representation that he is authorized
RESENTATIVES and qualified to represent the par-
ticular party in whose behalf he acts.
Sec. In the case of representatives other
11.1 Right to representation before the Gov- than attorneys, a simple written dec-
ernment Accountability Office. laration from the principal will be ac-
11.2 Practice by attorneys. cepted as evidence of the authority of
11.3 Authority to represent in payment
the representative to act on behalf of
cases.
11.4 Authority to represent in other cases. the principal.
11.5 Revocation of authority to represent.
§ 11.5 Revocation of authority to rep-
AUTHORITY: 31 U.S.C. 711. resent.
SOURCE: 41 FR 35155, Aug. 20, 1976, unless
otherwise noted. Redesignated at 45 FR 68374,
Prior to the conclusion of action by
Oct. 15, 1980. the Government Accountability Office
on a matter in which a principal is rep-
§ 11.1 Right to representation before resented by another person whose au-
the Government Accountability Of- thority to act is established under ei-
fice. ther § 11.3 or § 11.4, the principal may
Each person having a claim or other revoke the authority of his representa-
rights assertable in the Government tive. Such revocation is not effective
Accountability Office may pursue such unless it is in writing and signed by the
claim or right individually or through principal and until the written revoca-
an attorney or other representative. tion is received by the Government Ac-
§ 11.2 Practice by attorneys. countability Office. Upon notification
of the death of the principal during the
Any person who is a member in good pendency of any matter involving rep-
standing of the bar of the Supreme resentation of the principal by an at-
Court of the United States or of the torney or other party, the Government
highest court of any State, territory,
Accountability Office will consider the
or the District of Columbia, and is not
representative’s authority to have been

under any order of any court sus-
pending, enjoining, restraining, disbar- automatically revoked.
17
SUBCHAPTER B—GENERAL PROCEDURES
PART 21—BID PROTEST offerors who appear to have a substan-

REGULATIONS tial prospect of receiving an award if
the protest is denied.
Sec. (2) If an interested party files a pro-
21.0 Definitions. test in connection with a public-pri-
21.1 Filing a protest. vate competition conducted under OMB
21.2 Time for filing. Circular A–76 regarding an activity or
21.3 Notice of protest, submission of agency function of a Federal agency, the offi-
report, and time for filing of comments cial responsible for submitting the
on report. Federal agency tender, or the agent
21.4 Protective orders. representing the Federal employees as
21.5 Protest issues not for consideration.
21.6 Withholding of award and suspension of described in paragraph (a)(2)(B) of this
contract performance. section, or both, may also be interve-
21.7 Hearings. nors.
21.8 Remedies. (c) Federal agency or agency means
21.9 Time for decision by GAO. any executive department or inde-
21.10 Express options, flexible alternative pendent establishment in the executive
procedures, accelerated schedules, sum- branch, including any wholly owned
mary decisions, and status and other government corporation, and any es-
conferences.
21.11 Effect of judicial proceedings.
tablishment in the legislative or judi-
21.12 Distribution of decisions. cial branch, except the Senate, the
21.13 Nonstatutory protests. House of Representatives, and the Ar-
21.14 Request for reconsideration. chitect of the Capitol and any activi-
AUTHORITY: 31 U.S.C. 3551–3556.
ties under his direction.
(d) Days are calendar days. In com-
SOURCE: 61 FR 39042, July 26, 1996, unless puting any period of time described in
otherwise noted. Subchapter V, Chapter 35 of Title 31,
EDITORIAL NOTE: Nomenclature changes to United States Code, including those de-
part 21 appear at 73 FR 32429, June 9, 2008. scribed in this part, the day from
which the period begins to run is not
§ 21.0 Definitions. counted, and when the last day of the
(a)(1) Interested party means an actual period is a Saturday, Sunday, or Fed-
or prospective bidder or offeror whose eral holiday, the period extends to the
direct economic interest would be af- next day that is not a Saturday, Sun-
fected by the award of a contract or by day, or Federal holiday. Similarly,
the failure to award a contract. when the Government Accountability
(2) In a public-private competition Office (GAO), or another Federal agen-
conducted under Office of Management cy where a submission is due, is closed
and Budget Circular A–76 regarding for all or part of the last day, the pe-
performance of an activity or function riod extends to the next day on which
of a Federal agency, or a decision to the agency is open.
convert a function performed by Fed- (e) Adverse agency action is any action
eral employees to private sector per- or inaction by an agency that is preju-
formance without a competition under dicial to the position taken in a protest
OMB Circular A–76, interested party also filed with the agency, including a deci-
means sion on the merits of a protest; the
(A) The official responsible for sub- opening of bids or receipt of proposals,
mitting the Federal agency tender, and the award of a contract, or the rejec-
(B) Any one individual, designated as tion of a bid or proposal despite a pend-
an agent by a majority of the employing protest; or contracting agency ac-
ees performing that activity or func- quiescence in continued and substan-
tion, who represents the affected em- tial contract performance.
ployees. (f) A document is filed on a particular
(b)(1) Intervenor means an awardee if day when it is received by GAO by 5:30
the award has been made or, if no p.m., Eastern Time, on that day. Pro-
award has been made, all bidders or tests and other documents may be filed
18
by hand delivery, mail, commercial (7) Specifically request a ruling by

carrier, facsimile transmission (202– the Comptroller General of the United
512–9749), or e-mail (protests@gao.gov). States, and
Please check GAO’s Web site (http:// (8) State the form of relief requested.
www.gao.gov/legal/bidprotest.html) for (d) In addition, a protest filed with
current filing information. Hand deliv- GAO may:
ery and other means of delivery may (1) Request a protective order,
not be practicable during certain peri- (2) Request specific documents, ex-
ods due, for example, to security con- plaining the relevancy of the docu-
cerns or equipment failures. The filing ments to the protest grounds, and
party bears the risk that the delivery (3) Request a hearing, explaining the
method chosen will not result in time- reasons that a hearing is needed to re-
ly receipt at GAO. solve the protest.
(g) Alternative dispute resolution en- (e) The protester shall furnish a com-
compasses various means of resolving plete copy of the protest, including all
cases expeditiously, without a written attachments, to the individual or loca-
decision, including techniques such as tion designated by the agency in the
outcome prediction and negotiation as- solicitation for receipt of protests, or if
sistance. there is no designation, to the con-
[61 FR 39042, July 26, 1996, as amended at 67 tracting officer. The designated indi-
FR 79835, Dec. 31, 2002; 70 FR 19681, Apr. 14, vidual or location (or, if applicable, the
2005; 73 FR 32429, June 9, 2008] contracting officer) must receive a
complete copy of the protest and all at-
§ 21.1 Filing a protest. tachments not later than 1 day after
(a) An interested party may protest a the protest is filed with GAO. The pro-
solicitation or other request by a Fed- test document must indicate that a
eral agency for offers for a contract for complete copy of the protest and all at-
the procurement of property or serv- tachments are being furnished within 1
ices; the cancellation of such a solici- day to the appropriate individual or lo-
tation or other request; an award or cation.
proposed award of such a contract; and (f) No formal briefs or other tech-
a termination of such a contract, if the nical forms of pleading or motion are
protest alleges that the termination required. Protest submissions should
was based on improprieties in the be concise and logically arranged, and
award of the contract. should clearly state legally sufficient
(b) Protests must be in writing and grounds of protest. Protests of dif-
addressed as follows: General Counsel, ferent procurements should be sepa-
Government Accountability Office, 441 rately filed.
G Street, NW., Washington, DC 20548, (g) Unless precluded by law, GAO will
Attention: Procurement Law Control not withhold material submitted by a
Group. protester from any party outside the
(c) A protest filed with GAO shall: government after issuing a decision on
(1) Include the name, street address, the protest, in accordance with GAO’s
electronic mail address, and telephone rules at 4 CFR part 81. If the protester
and facsimile numbers of the protester, believes that the protest contains in-
(2) Be signed by the protester or its formation which should be withheld, a
representative, statement advising of this fact must be
(3) Identify the agency and the solici- on the front page of the submission.
tation and/or contract number, This information must be identified
(4) Set forth a detailed statement of wherever it appears, and the protester
the legal and factual grounds of protest must file a redacted copy of the protest
including copies of relevant docu- which omits the information with GAO
ments, and the agency within 1 day after the
(5) Set forth all information estab- filing of its protest with GAO.
lishing that the protester is an inter- (h) Parties who intend to file docu-
ested party for the purpose of filing a ments containing classified informa-
protest, tion should notify GAO in advance to
(6) Set forth all information estab- obtain advice regarding procedures for
lishing the timeliness of the protest, filing and handling the information.
19
§ 21.2 4 CFR Ch. I (1–1–11 Edition)
(i) A protest may be dismissed for the agency’s time for filing will con-
failure to comply with any of the re- trol. In cases where an alleged impro-
quirements of this section, except for priety in a solicitation is timely pro-
the items in paragraph (d) of this sec- tested to an agency, any subsequent
tion. In addition, a protest shall not be protest to GAO will be considered time-
dismissed for failure to comply with ly if filed within the 10-day period pro-
paragraph (e) of this section where the vided by this paragraph, even if filed
contracting officer has actual knowl- after bid opening or the closing time
edge of the basis of protest, or the for receipt of proposals.
agency, in the preparation of its re- (b) Protests untimely on their face
port, was not prejudiced by the pro- may be dismissed. A protester shall in-
tester’s noncompliance. clude in its protest all information es-
[61 FR 39042, July 26, 1996, as amended at 67 tablishing the timeliness of the pro-
FR 79835, Dec. 31, 2002; 73 FR 32430, June 9, test; a protester will not be permitted
2008] to introduce for the first time in a re-
quest for reconsideration information
§ 21.2 Time for filing. necessary to establish that the protest
(a)(1) Protests based upon alleged im- was timely.
proprieties in a solicitation which are (c) GAO, for good cause shown, or
apparent prior to bid opening or the where it determines that a protest
time set for receipt of initial proposals raises issues significant to the procure-
shall be filed prior to bid opening or ment system, may consider an un-
the time set for receipt of initial pro- timely protest.
posals. In procurements where pro-
posals are requested, alleged impropri- § 21.3 Notice of protest, submission of
eties which do not exist in the initial agency report, and time for filing of
solicitation but which are subsequently comments on report.
incorporated into the solicitation must (a) GAO shall notify the agency by
be protested not later than the next telephone within 1 day after the filing
closing time for receipt of proposals of a protest, and, unless the protest is
following the incorporation. dismissed under this part, shall
(2) Protests other than those covered promptly send a written confirmation
by paragraph (a)(1) of this section shall to the agency and an acknowledgment
be filed not later than 10 days after the to the protester. The agency shall im-
basis of protest is known or should mediately give notice of the protest to
have been known (whichever is earlier), the contractor if award has been made
with the exception of protests chal- or, if no award has been made, to all
lenging a procurement conducted on bidders or offerors who appear to have
the basis of competitive proposals a substantial prospect of receiving an
under which a debriefing is requested award. The agency shall furnish copies
and, when requested, is required. In of the protest submissions to those par-
such cases, with respect to any protest ties, except where disclosure of the in-
basis which is known or should have formation is prohibited by law, with in-
been known either before or as a result structions to communicate further di-
of the debriefing, the initial protest rectly with GAO. All parties shall fur-
shall not be filed before the debriefing nish copies of all protest communica-
date offered to the protester, but shall tions to the agency and to other par-
be filed not later than 10 days after the ticipating parties. All protest commu-
date on which the debriefing is held. nications shall be sent by means rea-
(3) If a timely agency-level protest sonably calculated to effect expedi-
was previously filed, any subsequent tious delivery.
protest to GAO filed within 10 days of (b) A agency or intervenor which be-
actual or constructive knowledge of lieves that the protest or specific pro-
initial adverse agency action will be test allegations should be dismissed be-
considered, provided the agency-level fore submission of an agency report
protest was filed in accordance with should file a request for dismissal as
paragraphs (a)(1) and (a)(2) of this sec- soon as practicable.
tion, unless the agency imposes a more (c) The agency shall file a report on
stringent time for filing, in which case the protest with GAO within 30 days
20
after the telephone notice of the protester of the basis of the agency’s posi-
test from GAO. The report provided to tion.
the parties need not contain documents (f) The agency may request an exten-
which the agency has previously fur- sion of time for the submission of the
nished or otherwise made available to list of documents to be provided by the
the parties in response to the protest. agency pursuant to § 21.3(c) or for the
At least 5 days prior to the filing of the submission of the agency report. Ex-
report, in cases in which the protester tensions will be granted on a case-by-
has filed a request for specific docu- case basis.
ments, the agency shall respond to the (g) The protester may request addi-
request for documents in writing. The tional documents after receipt of the
agency’s response shall, at a minimum, agency report when their existence or
identify whether the requested docu- relevance first becomes evident. Except
ments exist, which of the requested when authorized by GAO, any request
documents or portions thereof the for additional documents must be filed
agency intends to produce, which of with GAO and the agency not later
the requested documents or portions than 2 days after their existence or rel-
thereof the agency intends to withhold, evance is known or should have been
and the basis for not producing any of known, whichever is earlier. The agen-
the requested documents or portions cy shall provide the requested docu-
thereof. Any objection to the scope of ments, or portions of documents, and a
the agency’s proposed disclosure or list to GAO and the other parties with-
in 2 days or explain why it is not re-
nondisclosure of documents must be
quired to produce the documents.
filed with GAO and the other parties
(h) Upon the request of a party, GAO
within 2 days of receipt of this list.
will decide whether the agency must
(d) The report shall include the con- provide any withheld documents, or
tracting officer’s statement of the rel- portions of documents, and whether
evant facts, including a best estimate this should be done under a protective
of the contract value, a memorandum order. When withheld documents are
of law, and a list and a copy of all rel- provided, the protester’s comments on
evant documents, or portions of docu- the agency report shall be filed within
ments, not previously produced, includ- the original comment filing period un-
ing, as appropriate: the protest; the bid less GAO determines that an extension
or proposal submitted by the protester; is appropriate.
the bid or proposal of the firm which is (i) Comments on the agency report
being considered for award, or whose shall be filed with GAO within 10 days
bid or proposal is being protested; all after receipt of the report, with a copy
evaluation documents; the solicitation, provided to the agency and other par-
including the specifications; the ab- ticipating parties. The protest shall be
stract of bids or offers; and any other dismissed unless the protester files
relevant documents. In appropriate comments within the 10-day period, ex-
cases, a party may request that an- cept where GAO has granted an exten-
other party produce relevant docu- sion or has established a shorter period
ments, or portions of documents, that in accordance with § 21.10(e). Exten-
are not in the agency’s possession. sions will be granted on a case-by-case
(e) Subject to any protective order basis. Unless otherwise advised by the
issued in the protest pursuant to § 21.4, protester, GAO will assume the pro-
the agency shall simultaneously fur- tester received the agency report by
nish a copy of the report to the pro- the due date specified in the acknowl-
tester and any intervenors. The copy of edgment of protest furnished by GAO.
the report filed with GAO shall list the (j) GAO may request or permit the
parties who have been furnished copies submission of additional statements by
of the report. Where a protester does the parties and by other parties par-
not have counsel admitted to a protec- ticipating in the protest as may be nec-
tive order and documents are withheld essary for the fair resolution of the
from the protester in accordance with protest. The agency and other parties
this part, the agency shall provide doc- must receive GAO’s approval before
uments adequate to inform the pro- submitting any additional statements.
21
§ 21.4 4 CFR Ch. I (1–1–11 Edition)
GAO reserves the right to disregard position of such sanctions as GAO

material submitted without prior ap- deems appropriate, including referral
proval. to appropriate bar associations or
[61 FR 39042, July 26, 1996, as amended at 67
other disciplinary bodies, restricting
FR 79835, Dec. 31, 2002; 73 FR 32430, June 9, the individual’s practice before GAO,
2008] prohibition from participation in the
remainder of the protest, or dismissal
§ 21.4 Protective orders. of the protest.
(a) At the request of a party or on its [61 FR 39042, July 26, 1996, as amended at 67
own initiative, GAO may issue a pro- FR 79835, Dec. 31, 2002; 73 FR 32430, June 9,
tective order controlling the treatment 2008]
of protected information. Such infor-
mation may include proprietary, con- § 21.5 Protest issues not for consider-
fidential, or source-selection-sensitive ation.
material, as well as other information A protest or specific protest allega-
the release of which could result in a tions may be dismissed any time suffi-
competitive advantage to one or more cient information is obtained by GAO
firms. The protective order shall estab- warranting dismissal. Where an entire
lish procedures for application for ac- protest is dismissed, no agency report
cess to protected information, identi- need be filed; where specific protest al-
fication and safeguarding of that infor- legations are dismissed, an agency re-
mation, and submission of redacted port shall be filed on the remaining al-
copies of documents omitting pro- legations. Among the protest bases
tected information. Because a protec- that shall be dismissed are the fol-
tive order serves to facilitate the pur- lowing:
suit of a protest by a protester through (a) Contract administration. The ad-
counsel, it is the responsibility of pro- ministration of an existing contract is
tester’s counsel to request that a pro- within the discretion of the agency.
tective order be issued and to submit Disputes between a contractor and the
timely applications for admission agency are resolved pursuant to the
under that order. disputes clause of the contract and the
(b) If no protective order has been Contract Disputes Act of 1978. 41 U.S.C.
issued, the agency may withhold from 601–613.
the parties those portions of its report (b) Small Business Administration
that would ordinarily be subject to a issues—(1) Small business size stand-
protective order. GAO will review in ards and North American Industry
camera all information not released to Classification System (NAICS) stand-
the parties. ards. Challenges of established size
(c) After a protective order has been standards or the size status of par-
issued, counsel or consultants retained ticular firms, and challenges of the se-
by counsel appearing on behalf of a lected NAICS code may be reviewed
party may apply for admission under solely by the Small Business Adminis-
the order by submitting an application tration. 15 U.S.C. 637(b)(6).
to GAO, with copies furnished simulta- (2) Small Business Certificate of Com-
neously to all parties. The application petency Program. Referrals made to the
shall establish that the applicant is not Small Business Administration (SBA)
involved in competitive decision-mak- pursuant to sec. 8(b)(7) of the Small
ing for any firm that could gain a com- Business Act, or the issuance of, or re-
petitive advantage from access to the fusal to issue, a certificate of com-
protected information and that there petency under that section will gen-
will be no significant risk of inad- erally not be reviewed by GAO. The ex-
vertent disclosure of protected infor- ceptions, which GAO will interpret nar-
mation. Objections to an applicant’s rowly out of deference to the role of
admission shall be raised within 2 days the SBA in this area, are protests that
after receipt of the application, al- show possible bad faith on the part of
though GAO may consider objections government officials, or that present
raised after that time. allegations that the SBA failed to fol-
(d) Any violation of the terms of a low its own published regulations or
protective order may result in the im- failed to consider vital information
22
bearing on the firm’s responsibility due § 21.1(c)(4), or which fail to clearly state
to the manner in which the informa- legally sufficient grounds of protest as
tion was presented to or withheld from required by § 21.1(f).
the SBA by the procuring agency. 15 (g) Procurements by agencies other than
U.S.C. 637(b)(7). Federal agencies as defined by sec. 3 of
(3) Procurements under sec. 8(a) of the the Federal Property and Administrative
Small Business Act. Under that section, Services Act of 1949, 40 U.S.C. 472. Pro-
since contracts are entered into with tests of procurements or proposed pro-
the Small Business Administration at curements by agencies such as the U.S.
the contracting officer’s discretion and Postal Service, the Federal Deposit In-
on such terms as are agreed upon by surance Corporation, and non-
the procuring agency and the Small appropriated fund activities are beyond
Business Administration, the decision GAO’s bid protest jurisdiction as estab-
to place or not to place a procurement lished in 31 U.S.C. 3551–3556.
under the 8(a) program is not subject (h) Subcontract protests. GAO will not
to review absent a showing of possible consider a protest of the award or pro-
bad faith on the part of government of- posed award of a subcontract except
ficials or that regulations may have where the agency awarding the prime
been violated. 15 U.S.C. 637(a). contract has requested in writing that
(c) Affirmative determination of respon- subcontract protests be decided pursu-
sibility by the contracting officer. Be- ant to § 21.13.
cause the determination that a bidder
(i) Suspensions and debarments. Chal-
or offeror is capable of performing a
lenges to the suspension or debarment
contract is largely committed to the
of contractors will not be reviewed by
contracting officer’s discretion, GAO
GAO. Such matters are for review by
will generally not consider a protest
the agency in accordance with the ap-
challenging such a determination. The
plicable provisions of the Federal Ac-
exceptions are protests that allege that
quisition Regulation.
definitive responsibility criteria in the
solicitation were not met and those (j) Competitive range. GAO will not
that identify evidence raising serious consider protests asserting that the
concerns that, in reaching a particular protester’s proposal should not have
responsibility determination, the con- been included or kept in the competi-
tracting officer unreasonably failed to tive range.
consider available relevant informa- (k) Decision whether or not to file a
tion or otherwise violated statute or protest on behalf of Federal employees.
regulation. GAO will not review the decision of an
(d) Procurement integrity. For any agency tender official to file a protest
Federal procurement, GAO will not re- or not to file a protest in connection
view an alleged violation of sub- with a public-private competition.
sections (a), (b), (c), or (d) of sec. 27 of [61 FR 39042, July 26, 1996, as amended at 67
the Office of Federal Procurement Pol- FR 79835, Dec. 31, 2002; 70 FR 19681, Apr. 14,
icy Act, 41 U.S.C. 423, as amended by 2005; 73 FR 32430, June 9, 2008]
sec. 4304 of the National Defense Au-
thorization Act for Fiscal Year 1996, § 21.6 Withholding of award and sus-
Public Law 104–106, 110 Stat. 186, Feb- pension of contract performance.
ruary 10, 1996, where the protester Where a protest is filed with GAO,
failed to report the information it be- the agency may be required to with-
lieved constituted evidence of the of- hold award and to suspend contract
fense to the Federal agency responsible performance. The requirements for the
for the procurement within 14 days withholding of award and the suspen-
after the protester first discovered the sion of contract performance are set
possible violation. forth in 31 U.S.C. 3553(c) and (d); GAO
(e) Protests not filed either in GAO does not administer the requirements
or the agency within the time limits to stay award or suspend contract per-
set forth in § 21.2.
formance under CICA at 31 U.S.C.
(f) Protests which lack a detailed
3553(c) and (d).

statement of the legal and factual
grounds of protest as required by [73 FR 32430, June 9, 2008]
23
§ 21.7 4 CFR Ch. I (1–1–11 Edition)
§ 21.7 Hearings. § 21.8 Remedies.

(a) At the request of a party or on its (a) If GAO determines that a solicita-
own initiative, GAO may conduct a tion, cancellation of a solicitation, ter-
hearing in connection with a protest. mination of a contract, proposed
The request shall set forth the reasons award, or award does not comply with
why a hearing is needed to resolve the statute or regulation, it shall rec-
protest. ommend that the agency implement
(b) Prior to the hearing, GAO may any combination of the following rem-
hold a pre-hearing conference to dis- edies:
cuss and resolve matters such as the (1) Refrain from exercising options
procedures to be followed, the issues to under the contract;
be considered, and the witnesses who (2) Terminate the contract;
(3) Recompete the contract;
will testify.
(4) Issue a new solicitation;
(c) Hearings generally will be con- (5) Award a contract consistent with
ducted as soon as practicable after re- statute and regulation; or
ceipt by the parties of the agency re- (6) Such other recommendation(s) as
port and relevant documents. Although GAO determines necessary to promote
hearings ordinarily will be conducted compliance.
at GAO in Washington, DC, hearings (b) In determining the appropriate
may, at the discretion of GAO, be con- recommendation(s), GAO shall, except
ducted at other locations, or by tele- as specified in paragraph (c) of this sec-
phone or other electronic means. tion, consider all circumstances sur-
(d) All parties participating in the rounding the procurement or proposed
protest shall be invited to attend the procurement including the seriousness
hearing. Others may be permitted to of the procurement deficiency, the de-
attend as observers and may partici- gree of prejudice to other parties or to
pate as allowed by GAO’s hearing offi- the integrity of the competitive pro-
cial. In order to prevent the improper curement system, the good faith of the
disclosure of protected information at parties, the extent of performance, the
the hearing, GAO’s hearing official cost to the government, the urgency of
may restrict attendance during all or the procurement, and the impact of the
part of the proceeding. recommendation(s) on the agency’s
(e) Hearings shall normally be re- mission.
corded and/or transcribed. If a record- (c) If the head of the procuring activ-
ing and/or transcript is made, any ity determines that performance of the
party may obtain copies at its own ex- contract notwithstanding a pending
pense. protest is in the government’s best in-
(f) If a witness whose attendance has terest, GAO shall make its rec-
been requested by GAO fails to attend ommendation(s) under paragraph (a) of
the hearing or fails to answer a rel- this section without regard to any cost
evant question, GAO may draw an in- or disruption from terminating, recom-
ference unfavorable to the party for peting, or reawarding the contract.
whom the witness would have testified. (d) If GAO determines that a solicita-
(g) If a hearing is held, each party tion, proposed award, or award does
shall file comments with GAO within 5 not comply with statute or regulation,
days after the hearing was held or as it may recommend that the agency pay
specified by GAO. If the protester has the protester the costs of:
(1) Filing and pursuing the protest,
not filed comments by the due date,
including attorneys’ fees and consult-
GAO shall dismiss the protest.
ant and expert witness fees; and
(h) In post-hearing comments, the (2) Bid and proposal preparation.
parties should reference all testimony (e) If the agency decides to take cor-
and admissions in the hearing record rective action in response to a protest,
that they consider relevant, providing GAO may recommend that the agency
specific citations to the testimony and pay the protester the reasonable costs
admissions referenced. of filing and pursuing the protest, in-
[61 FR 39042, July 26, 1996, as amended at 67 cluding attorneys’ fees and consultant
FR 79836, Dec. 31, 2002] and expert witness fees. The protester
24
shall file any request that GAO rec- new grounds to an existing protest, or
ommend that costs be paid within 15 a timely amended protest, within the
days of the date on which the protester time limit established in paragraph (a)
learned (or should have learned, if that of this section for decision on the ini-
is earlier) that GAO had closed the pro- tial protest. If a supplemental or an
test based on the agency’s decision to amended protest cannot be resolved
take corrective action. The protester within that time limit, GAO may re-
shall furnish a copy of its request to solve the supplemental or amended
the agency, which may file a response protest using the express option proce-
within 15 days after receipt of the re- dures in § 21.10.
quest, with a copy furnished to the pro-
tester. § 21.10 Express options, flexible alter-
(f)(1) If GAO recommends that the native procedures, accelerated
agency pay the protester the costs of schedules, summary decisions, and
filing and pursuing the protest and/or status and other conferences.
of bid or proposal preparation, the pro-
(a) At the request of a party or on its
tester and the agency shall attempt to
reach agreement on the amount of own initiative, GAO may decide a pro-
costs. The protester shall file its claim test using an express option.
for costs, detailing and certifying the (b) The express option will be adopted
time expended and costs incurred, with at the discretion of GAO and only in
the agency within 60 days after receipt those cases suitable for resolution
of GAO’s recommendation that the within 65 days.
agency pay the protester its costs. (c) Requests for the express option
Failure to file the claim within that shall be in writing and received in GAO
time may result in forfeiture of the not later than 5 days after the protest
protester’s right to recover its costs. or supplemental/amended protest is
(2) The agency shall issue a decision filed. GAO will promptly notify the
on the claim for costs as soon as prac- parties whether the case will be han-
ticable after the claim is filed. If the dled using the express option.
protester and the agency cannot reach (d) When the express option is used,
agreement within a reasonable time, the following schedule applies instead
GAO may, upon request of the proof those deadlines in § 21.3 and § 21.7:
tester, recommend the amount of costs
(1) The agency shall file a complete
the agency should pay in accordance
report with GAO and the parties within
with 31 U.S.C. 3554(c). In such cases,
20 days after it receives notice from
GAO may also recommend that the
GAO that the express option will be
agency pay the protester the costs of
pursuing the claim for costs before used.
GAO. (2) Comments on the agency report
(3) The agency shall notify GAO shall be filed with GAO and the other
within 60 days after GAO recommends parties within 5 days after receipt of
the amount of costs the agency should the report.
pay the protester of the action taken (3) Where circumstances demonstrate
by the agency in response to the rec- that a case is no longer suitable for
ommendation. resolution using the express option,
GAO shall establish a new schedule for
FR 79836, Dec. 31, 2002] submissions by the parties.
(e) GAO, on its own initiative or upon
§ 21.9 Time for decision by GAO. request by the parties, may use flexible
(a) GAO shall issue a decision on a alternative procedures to promptly and
protest within 100 days after it is filed. fairly resolve a protest, including al-
(b) In protests where GAO uses the ternative dispute resolution, estab-
express option procedures in § 21.10, lishing an accelerated schedule, and/or
GAO shall issue a decision on a protest issuing a summary decision.
within 65 days after it is filed. (f) GAO may conduct status and
(c) GAO, to the maximum extent other conferences by telephone or in
practicable, shall resolve a timely sup- person with all parties participating in
plemental protest adding one or more a protest to promote the expeditious
25
§ 21.11 4 CFR Ch. I (1–1–11 Edition)
development and resolution of the pro- agency involved has agreed in writing
test. to have protests decided by GAO.
(b) The provisions of this part shall
FR 79836, Dec. 31, 2002] apply to nonstatutory protests except
for the provision of § 21.8(d) pertaining
§ 21.11 Effect of judicial proceedings. to recommendations for the payment
of costs. The provision for the with-
(a) A protester must immediately ad- holding of award and the suspension of
vise GAO of any court proceeding contract performance, 31 U.S.C. 3553(c)
which involves the subject matter of a and (d), also does not apply to non-
pending protest and must file with statutory protests.
GAO copies of all relevant court docu-
ments. § 21.14 Request for reconsideration.
(b) GAO will dismiss any case where
(a) The protester, any intervenor,
the matter involved is the subject of
and any Federal agency involved in the
litigation before, or has been decided
protest may request reconsideration of
on the merits by, a court of competent
a bid protest decision. GAO will not
jurisdiction. GAO may, at the request
consider a request for reconsideration
of a court, issue an advisory opinion on
that does not contain a detailed state-
a bid protest issue that is before the
ment of the factual and legal grounds
court. In these cases, unless a different
upon which reversal or modification is
schedule is established, the times pro-
deemed warranted, specifying any er-
vided in this part for filing the agency
rors of law made or information not
report (§ 21.3(c)), filing comments on
previously considered.
the report (§ 21.3(i)), holding a hearing
(b) A request for reconsideration of a
and filing comments (§ 21.7), and
bid protest decision shall be filed, with
issuing a decision (§ 21.9) shall apply.
copies to the parties who participated
[61 FR 39042, July 26, 1996, as amended at 67 in the protest, not later than 10 days
FR 79836, Dec. 31, 2002] after the basis for reconsideration is
known or should have been known,
§ 21.12 Distribution of decisions. whichever is earlier.
(a) Unless it contains protected infor- (c) GAO will summarily dismiss any
mation, a copy of a decision shall be request for reconsideration that fails
provided to the protester, any interve- to state a valid basis for reconsider-
nors, and the agency involved; a copy ation or is untimely. To obtain recon-
also shall be made available to the pub- sideration, the requesting party must
lic. A copy of a decision containing show that our prior decision contains
protected information shall be pro- errors of either fact or law, or must
vided only to the agency and to indi- present information not previously
viduals admitted to any protective considered that warrants reversal or
order issued in the protest. A public modification of our decision; GAO will
version omitting the protected infor- not consider a request for reconsider-
mation shall be prepared wherever pos- ation based on repetition of arguments
sible. previously raised.
(b) Decisions may be distributed to [61 FR 39042, July 26, 1996, as amended at 73
the parties, and are available from FR 32430, June 9, 2008]
GAO, by electronic means.
[61 FR 39042, July 26, 1996, as amended at 67 PART 22—RULES OF PROCEDURE OF
FR 79836, Dec. 31, 2002; 73 FR 32430, June 9, THE GOVERNMENT ACCOUNT-
2008]
ABILITY OFFICE CONTRACT AP-
§ 21.13 Nonstatutory protests. PEALS BOARD
(a) GAO will consider protests con- Sec.
cerning awards of subcontracts by or 22.1 Applicability of Rules [Rule 1].
for a Federal agency, sales by a Federal 22.2 Board Consideration [Rule 2].
agency, or procurements by agencies of
22.3 Appeals—How Taken [Rule 3].

the government other than Federal 22.4 Appeal File [Rule 4].
agencies as defined in § 21.0(c) if the 22.5 Pleadings [Rule 5].
26
22.6 Motions, Briefs, and Other Statements Telephone: 202–512–3342; Facsimile: 202–
[Rule 6]. 512–9749; E-mail: cab@gao.gov.
22.7 Copies and Service Thereof [Rule 7]. (b) Three member panel. Generally, all
22.8 General Discovery Procedures [Rule 8].
appeals will be assigned to a panel of
22.9 Subpoenas [Rule 9].
22.10 Sanctions [Rule 10]. three members of the Board appointed
22.11 Depositions [Rule 11]. by the Chairman of the Board; said
22.12 Interrogatories [Rule 12]. panel may or may not include the
22.13 Requests for Admission [Rule 13]. Chairman of the Board as a member.
22.14 Production of Documents, Electroni- Each panel will include a presiding
cally Stored Information, Other Tangible member who is responsible for case
Things, or Entry Onto Land [Rule 14]. management, including scheduling,
22.15 Conferences and Orders [Rule 15].
and who may, without participation of
22.16 Hearings [Rule 16].
22.17 Submission on the Record Without a the other panel members, rule on non-
Hearing [Rule 17]. dispositive motions and resolve proce-
22.18 Closing the Record [Rule 18]. dural disputes. Hearings on appeals
22.19 Findings and Decisions of the Board may be held by one or more of the
[Rule 19]. panel members of the Board. Appeals
22.20 Mistakes and Corrections [Rule 20]. resolved under the Board’s small
22.21 Motion for Reconsideration [Rule 21]. claims or accelerated procedures (see
22.22 Accelerated and Small Claims Proce-
§ 22.22 of this part [Rule 22]) may be de-
dures [Rule 22].
22.23 Suspension of Proceedings [Rule 23]. cided by a single member of the Board.
22.24 Alternative Dispute Resolution [Rule Requests for consideration of a matter
24]. by all members of the Contract Appeals
22.25 Protective Orders and In Camera Re- Board will not be granted in any appeal
view [Rule 25]. filed under these rules.
22.26 Representation of the Parties [Rule (c) Absence or disability of Chairman.
26]. The activities of the Board shall be
22.27 Ex Parte Communications [Rule 27].
performed under the supervision of the
22.28 Time [Rule 28].
22.29 Inspection of the Record [Rule 29]. Chairman of the Board. In the absence
of, or during the disability of, the
AUTHORITY: Sec. 1501, Public Law 110–161, Chairman, the Vice Chairman of the
121 Stat. 2249.
Board shall act as the Chairman.
SOURCE: 73 FR 36258, June 26, 2008, unless
otherwise noted. § 22.3 Appeals—How Taken [Rule 3].
(a) Form. An appeal by the contractor
§ 22.1 Applicability of Rules [Rule 1].
shall be filed with the Board in the
The Government Accountability Of- form of a written notice of appeal. The
fice Contract Appeals Board is author- notice shall identify the contract by
ized to hear appeals from decisions of number, the name of the government
contracting officers with respect to agency and/or department against
any contract entered into by a legisla- which the claim is asserted, the con-
tive branch agency. These rules shall tracting officer for the subject dispute,
apply to all appeals filed with the the decision from which the appeal is
Board on or after October 1, 2007. taken, an estimate of the amount of
money in controversy, if any, and shall
§ 22.2 Board Consideration [Rule 2]. be signed personally by the appellant
(a) Offices. The office of the Board (the contractor making the appeal) or
shall be at the Government Account- by his representative or attorney. The
ability Office, 441 G Street, NW., Wash- complaint referred to in § 22.5(a) of this
ington, DC 20548, or in such other place part [Rule 5(a)] may be filed with the
as may from time to time hereafter be notice of appeal or the appellant may
assigned for its use. All files and designate the notice of appeal as a
records of the Board shall be kept at complaint if it otherwise fulfills the re-
such office. All communications, plead- quirements of a complaint. The appel-
ings, and/or documents addressed to lant shall promptly provide a copy of
the Board shall be addressed or deliv- the appeal and complaint to the con-
ered to the Board at the Government tracting officer.
Accountability Office, 441 G Street, (b) Timeliness. (1) For claims where a
NW., Room 7182, Washington, DC 20548; contracting officer has issued a final
27
§ 22.4 4 CFR Ch. I (1–1–11 Edition)
decision, the contractor may file an ap- the decision, the appeal is taken using
peal no later than 90 days after it re- the same method or service as for the
ceives the contracting officer’s final Board, or an equal or more expeditious
decision. method of service. For service of docu-
(2) For certified claims submitted to ments once an appeal has commenced,
the contracting officer in excess of see § 22.7(b) of this part [Rule 7(b)].
$50,000 where the contracting officer (d) Docketing. When the Board re-
has not issued a final decision within a ceives a notice of appeal from the ap-
reasonable time, taking into account pellant, the Board will promptly dock-
such factors as the size and complexity et the appeal and provide written no-
of the claim, the contractor may file a tice of docketing to all parties, or their
notice of appeal citing the failure of counsel, with a copy of these rules.
the contracting officer to issue a deci- (e) Consolidation. The Board, in its
sion. discretion, may consolidate cases in-
(3) For claims submitted to the con- volving common issues of law or fact.
tracting officer in the amount of $50,000
or less where the contracting officer [73 FR 36258, June 26, 2008, as amended at 73
has not issued a final decision within 60 FR 60610, Oct. 14, 2008]
days of the contractor’s request that a
final decision be issued within that § 22.4 Appeal File [Rule 4].
time, the contractor may file a notice (a) Duties of the Contracting Officer. (1)
of appeal citing the failure of the con- Within 30 days after receipt of the com-
tracting officer to issue a decision. plaint, or within such other period of
(4) In lieu of a notice of appeal filed time as may be established by the
under paragraphs (b)(2) or (b)(3) of this Board, the contracting officer shall as-
section [Rules 3(b)(2) or 3(b)(3)], the semble and transmit to the Board an
contractor may request that the Board appeal file consisting of all documents
direct a contracting officer to issue a pertinent to the appeal, including:
decision within a specified period of (i) The decision from which the ap-
time, as determined by the Board, in peal is taken;
the event of undue delay by the con- (ii) The contract, including relevant
tracting officer in issuing a decision. specifications, amendments, plans, and
(5) An appeal filed with the Board drawings;
will be deemed ‘‘filed’’ on the date actu- (iii) All correspondence between the
ally received by the Board if received parties relevant to the appeal, includ-
by 5:30 p.m. local time in Washington, ing the letter or letters of claim in re-
DC, or on the next business day if re-
sponse to which the decision was
ceived after 5:30 p.m.
issued;
(c) Service of the appeal; copies. An
(iv) All documents and other tangible
original plus 3 copies of the appeal
shall be filed with the Board by hand things on which the contracting officer
delivery, express or priority mail, ap- relied in making the decision, and any
proved commercial carrier (e.g., UPS correspondence relating thereto;
or FedEx), facsimile, or e-mail, al- (v) Transcripts of any testimony
though e-mail is the preferred method taken during the course of proceedings,
of delivery in all Board matters. The and affidavits or statements of any
use of first class or parcel post mail is witnesses on the matter in dispute
strongly discouraged because the deliv- made prior to the filing of the notice of
ery delays and screening process for appeal with the Board; and
government mail could result in un- (vi) Any additional information or
timely filed appeals. If filed by e-mail evidence considered relevant to the ap-
or facsimile, the appellant shall pro- peal.
vide the original plus 3 copies to the (2) Within the same time specified
Board by hand delivery or commercial above, the contracting officer shall fur-
carrier within 2 business days of the e- nish the appellant a copy of each docu-
mailed or facsimile transmitted filing. ment he or she transmits to the Board,
The appellant shall furnish a copy of except those in paragraph (a)(1)(ii) of
the appeal to the contracting officer this section [Rule 4(a)(1)(ii)]. As to the
from whose decision, or failure to issue latter, a list furnished to the appellant
28
indicating specific contractual docu- of one set of consecutively numbered

ments transmitted will suffice. Docu- pages. Preceding each Bates number
ments filed under this rule, and any shall be a designation ‘‘A’’ for appellant
supplements, shall be organized and or ‘‘R’’ for respondent, indicating which
filed in accordance with paragraph (d) party provided the document. Multiple
of this section [Rule 4(d)]. binders shall be consecutively num-
(b) Duties of the appellant. Within 30 bered and include references on the
days after receipt of a copy of the ap- outside cover and binding that state
peal file provided pursuant to para- the range of tab numbers and Bates
graph (a) of this section [Rule 4(a)], or numbers contained therein. Within
within such other period of time as each binder, tabs shall separate each
may be established by the Board, the document; multiple documents shall
appellant shall transmit to the Board not be placed behind a single tab, un-
for inclusion in the appeal file any doc- less each document is separated by a
uments not contained therein which divider. The appeal file shall include an
the appellant considers to be relevant index identifying each document in-
to the appeal. Within the same period cluded in the appeal file by date, brief
of time, the appellant shall furnish a description of the document, and the
copy of such documents to the con- tab and Bates numbers where the docu-
tracting officer or counsel for the gov- ment can be located in the appeal file.
ernment. Documents filed under this The Board may, in its discretion or
rule shall be organized and filed in ac- upon request of a party, order an alter-
cordance with paragraph (d) of this sec- native organization of the appeal file.
tion [Rule 4(d)]. If an alternative organization of the
(c) Continuing duty to supplement the appeal file is permitted, such as by doc-
record. All parties have a continuing ument type or topic, documents within
duty to supplement the record with rel- that grouping must be presented in
evant documents and tangible things, chronological order to the extent pos-
and the appeal file may be supple- sible. The Board may impose special
mented by any party at any time be- requirements on the production of elec-
fore the closing of the record. In cases tronic documents and, if any portion of
where a hearing is requested, these the § 22.4 [Rule 4] file or supplement
supplements shall be provided well in contains electronic documents, the
advance of the pre-hearing conference party submitting such documents shall
so that objections to admissibility may contact the Board before submission
be heard and resolved, to the maximum for guidance.
extent possible, in advance of the hear- (e) Submissions on order of the Board.
ing. All supplements to the appeal file The Board may, at any time during the
shall be organized and filed in accord- pendency of the appeal, require any
ance with paragraph (d) of this section party to file documents or tangible
[Rule 4(d)]. things as additional exhibits. The
(d) Organization of appeal file. Only Board may also require a party to file
relevant documents and tangible printed versions of electronic records
things should be provided as part of the or, conversely, may require electronic
appeal file. Appeal file documents may versions of printed documents.
be originals or true, legible, and com- (f) Status of documents in the record.
plete copies or facsimiles. The appeal Documents contained in the appeal file
file shall be arranged in chronological are considered, without further action
order with the earliest documents first; by the parties, as part of the record
bound in a 3-ring binder (or binders) or upon which the Board will render its
similar loose-leaf binder(s) no larger decision. However, a party may object
than 4 inches in width, except where to consideration of a particular docu-
size or shape makes such binding im- ment or documents by filing a written
practicable; numbered; tabbed; and in- objection. Such objections shall be
dexed. Numbering of pages shall be raised by motion pursuant to § 22.6 of
consecutive and continuous from one this part [Rule 6] and shall be filed as
page to the next (i.e., ‘‘Bates’’ num- early as necessary to allow the Board,
bered), so that the complete file, in- to the maximum extent possible, to re-
cluding any supplements, will consist solve the objection in advance of a
29
§ 22.5 4 CFR Ch. I (1–1–11 Edition)
scheduled hearing, or before the record before the closing of the record when a
is closed if no hearing is held. hearing is not held, the Board in its
discretion may permit a party to
§ 22.5 Pleadings [Rule 5]. amend its complaint or answer con-
(a) Complaint. Within 15 days after re- cerning matters that are within the
ceipt of the docketing notice from the proper scope of the appeal, upon condi-
Board, or within such other period of tions that are just to both parties. The
time as may be established by the Board, upon its own initiative or upon
Board, the appellant will file with the application by a party, may in its dis-
Board, if not previously filed with the cretion order a party to make a more
notice of appeal, a complaint setting definite statement of its complaint or
forth simple, concise, and direct state- answer, or to reply to an answer. When
ments of each of its claims showing issues within the proper scope of the
that it is entitled to relief; identifying appeal, but not raised by the complaint
the contract provision or provisions and answer, are determined by express
under which relief is claimed; and stat- or implied consent of the parties as
ing the amount in controversy or an having been raised, they shall be treat-
estimate thereof, if known, and/or the ed in all respects as if they had been
relief requested. The complaint shall raised in the pleadings. Such amend-
be limited to those requests for relief ment of the complaint and answer as
which have been presented to the con- may be necessary to cause them to
tracting officer and were either denied conform to the evidence may be made
or not ruled upon by the contracting upon motion at any time, but failure to
officer in accordance with § 22.3 of this so amend does not affect the result of
part [Rule 3]. No technical form is re- the hearing of these issues. If evidence
quired, but each claim should be sepa- is objected to at the hearing on the
rately identified. In the event that the ground that it is not within the issues
complaint is not filed within the time raised by the complaint and answer,
stated above, the appeal may be dis- the Board may allow the pleadings to
missed by the Board for lack of pros- be amended within the proper scope of
ecution. the appeal and shall do so freely when
(b) Answer. Within 30 days after re- the presentation of the merits of the
ceipt of the complaint, or within such action will be served thereby and the
other period of time as may be estab- objecting party fails to satisfy the
lished by the Board, the contracting of- Board that the admission of such evi-
ficer or counsel for the government dence would prejudice it in maintain-
shall prepare and file with the Board ing its appeal or defense on the merits.
an answer thereto. The answer shall set The Board may, however, grant a con-
forth simple, concise, and direct state- tinuance to enable the objecting party
ments of the government’s defenses to to respond to such evidence.
each claim asserted by the appellant.
Each defense shall be stated with as § 22.6 Motions, Briefs, and Other State-
much particularity as is practicable. ments [Rule 6].
Defenses which go to the Board’s juris- (a) Motions, generally. Motions shall
diction may be included in the answer, be made in writing, indicate the relief
or may be raised by motion pursuant sought and include the grounds there-
to the provisions of § 22.6 of this part for, and be filed with the Board as soon
[Rule 6]. Motions in lieu of an answer as practicable after the grounds there-
may be filed only with the advance per- for are known and as early as nec-
mission of the Board. essary to allow the Board to rule on
(c) Small claims and accelerated proce- the motion in advance of a scheduled
dures. When an appellant elects to use hearing. Except for motions submitted
the small claims or accelerated proce- under paragraph (d) of this section
dures described in § 22.22 of this part [Rule 6(d)], any party may respond to a
[Rule 22], the Board may shorten the motion by submitting a written re-
time for filing the complaint and an- sponse to the motion within 10 days of
swer. receipt of the motion, and the moving
(d) Amendment of pleadings. At any party may reply to the response within
time before a hearing on the merits, or 5 days of receipt of the response, except
30
that the Board, in its discretion, may imum extent possible, include citations
shorten or lengthen the time for the re- to the record in support of the state-
sponse and reply based on the nature of ment, argument, or analysis made. Ci-
the motion, the nature and timing of tations to the record must be specific
the case, and the scheduling needs of (i.e., to Bates number or similar des-
the Board. The Board may request ad- ignation). Declarations, affidavits, or
ditional submissions from the parties other statements containing inad-
and may decide motions on the written equate citations may be returned to
submissions without oral argument. the party with an order that the party
The Board shall decide all motions be- resubmit the statement with appro-
fore the hearing on the merits unless priate revisions.
the Board determines that a ruling be (d) Motions for summary judgment—(1)
deferred pending a hearing on both the Generally. Motions for summary judg-
merits and the motion. Jurisdictional ment or partial summary judgment
and procedural defenses may be raised shall be filed only when a party be-
at any time by motion, but should be lieves, based on uncontested material
raised as soon as the grounds therefor facts, that it is entitled to relief, in
are known; and the Board, at any time whole or in part, as a matter of law.
and on its own initiative, may raise an Such motions shall be filed as soon as
issue of jurisdiction and may decline to practicable to allow the Board to rule
proceed with an appeal in which it on the motion in advance of a sched-
lacks authority to decide the issues. uled hearing. In considering a motion,
All motions, responses, replies, and ad- or partial motion, for summary judg-
ditional submissions required by the ment, the Board will consider the
Board shall be filed in accordance with pleadings, depositions, answers to in-
paragraphs (b) and (c) of this section terrogatories, admissions of record,
[Rules 6(b) and 6(c)]. and affidavits provided, and will grant
(b) Briefs and citations. In addition to such motion if there is no genuine
submissions required by these rules, issue of material fact and the moving
the Board may require the parties to party is entitled to judgment as a mat-
file legal or factual briefs concerning ter of law. In deciding motions for sum-
any matter that may aid in the disposi- mary judgment, the Board will look to
tion of the appeal. When such briefs or Rule 56 of the Federal Rules of Civil
submissions are required (by rule or by Procedure for guidance.
the Board), the brief or submission (2) Requirements. Where both parties
shall contain citations to the record agree that disposition by summary
and legal authority as appropriate, and judgment or partial summary judg-
follow such other format as may be di- ment is appropriate, they shall file a
rected by the Board. Citations to the stipulation of all material facts nec-
record must be specific (i.e., to Bates essary for the Board to rule on the mo-
number or other similar designation) tion. Otherwise, the moving party shall
so that the Board can locate the exact file with its motion a ‘‘Statement of
proposition or matter to which the Undisputed Material Facts’’ setting
party is referring. The parties should forth the claimed undisputed material
not expect the Board to search the facts in separately numbered para-
record for evidence in support of either graphs, each of which shall be sup-
party’s position. Briefs and submis- ported by citations to the § 22.4 [Rule 4]
sions that are not submitted in the re- file or other evidence establishing the
quired format, or which do not contain facts. The non-moving party shall file a
adequate citations to the record or ‘‘Statement of Genuine Issues of Mate-
legal authority, may be rejected by the rial Facts,’’ responding to each num-
Board or returned to the party with an bered paragraph, demonstrating the ex-
order that the party resubmit the brief istence of genuine issues of material
or submission with appropriate revi- facts where appropriate, and including
sions. for each fact citations to the § 22.4
(c) Declarations, affidavits, or other [Rule 4] file or other evidence in sup-
statements. Any declaration, affidavit, port. A fact properly proposed by one
or other statement that is submitted party may be accepted by the Board as

to explain the record must, to the max- undisputed unless the opposing party
31
§ 22.7 4 CFR Ch. I (1–1–11 Edition)
properly responds and establishes that the submission provided by e-mail to

the fact is in dispute. An opposing each of the members of the Board. All
party may not rely on mere allegations e-mails to cab@gao.gov must identify
or denials in its pleadings to dem- the case name and docket number in
onstrate the existence of a genuine the subject line of the e-mail. In addi-
issue of material fact. Either party tion, unless the Board directs other-
may rely on affidavits, depositions, an- wise, the original plus 3 copies of the e-
swers to interrogatories, or admissions mailed submission also shall be pro-
of record to establish the existence of, vided to the Board by hand delivery,
or to dispute, a material fact. The mov- express or priority mail, or approved
ing party and non-moving party each commercial carrier (e.g., UPS or
shall submit a memorandum of law FedEx) within 2 business days of the e-
supporting or opposing summary judg- mailed filing (except that the original
ment, and the moving party may file a and one copy are required for appeals
reply to the non-moving party’s opposi- involving small claims or using accel-
tion of the motion. erated procedures). Delivery to the
(3) Time. Generally, the non-moving Board by first class or parcel post mail
party shall file its opposition to a mo- is not permitted. However, the Board
tion for summary judgment or partial may at any time modify the number of
summary judgment within 20 days of copies required or authorize alter-
receipt of the motion, and the moving native methods of delivery to the
party’s reply is due within 10 days of Board.
receipt of the opposition, except that (c) Service on parties. All correspond-
the Board, in its discretion, may short- ence and submissions to the Board
en or lengthen the time for opposition must be provided to all other parties
and reply based on the nature of the using the same method of service as
motion, the nature and timing of the used for the Board, or an equal or more
case, and the scheduling needs of the expeditious method of service. Except
Board. for documents provided pursuant to
(4) Citations. All motions for sum- § 22.4 of this part [Rule 4], e-mail serv-
mary judgment, oppositions to such ice is preferred. However, where the
motions, briefs, and statements in sup- parties agree to other methods of serv-
port of the motions or opposition to ice, such other methods of service to
the motions shall be filed in conform- parties are permitted.
ance with paragraphs (b) and (c) of this (d) Proof of service. A party sending a
section [Rules 6(b) and 6(c)]. document to the Board must represent
to the Board that a copy has been sent
§ 22.7 Copies and Service Thereof to the other parties, identify the date
[Rule 7]. on which service was made, and iden-
(a) Rule 4 file. For documents pro- tify the method of delivery used. This
vided pursuant to § 22.4 of this part may be done by certificate of service,
[Rule 4], the original and one copy by notation of a photostatic copy (cc:),
shall be provided to the Board, and one or by any other means that can reason-
copy shall be provided to each party. ably be expected to show the Board
Documents shall be provided by hand that the other party has been provided
delivery, express or priority mail, or a copy, the date on which the copy was
approved commercial carrier (e.g., UPS provided, and the method of delivery
or FedEx); first class and parcel post used to provide the copy. Proof of serv-
mail are not permitted unless author- ice must be provided to the Board at
ized by the Board. the time of filing. If proof of service is
(b) Other submissions filed with the not provided, the Board may decline to
Board. Except as otherwise authorized consider the document in the appeal.
by the Board, all correspondence and
submissions, other than documents § 22.8 General Discovery Procedures
provided pursuant to § 22.4 of this part [Rule 8].
[Rule 4] and appeals filed under § 22.3(c) (a) General policy and methods of dis-
of this part [Rule 3(c)], shall be pro- covery. The parties are encouraged to
vided to the Board by e-mail at engage in voluntary discovery proce-

cab@gao.gov, with a courtesy copy of dures and may obtain discovery by one
32
or more of the following methods: (e) Discovery objections. Unless other-

Depositions; written interrogatories; wise ordered by the Board, any objec-
requests for admissions; and requests tion to a discovery request must be
for production of documents, electroni- filed with the Board within 15 days of
cally stored information, other tan- receipt of the request. Objections must
gible things, or entry onto land. be filed in writing and state with speci-
(b) Scope of discovery. Except as oth- ficity the grounds therefor. Upon re-
erwise limited by order of the Board, ceipt, the Board will establish a sched-
the parties may obtain discovery re- ule for resolving the objections, which
garding any matter, not privileged, may include additional briefing by the
which is relevant to the subject matter parties or oral argument, and will de-
involving the pending appeal, whether termine the extent to which discovery
it relates to a claim or defense of a will be permitted. A party shall fully
party, including the existence, descrip- respond to any discovery request to
tion, nature, custody, condition, and which it does not file a timely objec-
location of any books, documents, election, in accordance with paragraph (f)
tronically stored information, or other of this section [Rule 8(f)]. The parties
tangible things, and the identity and are required to make a good faith ef-
location of persons having knowledge fort to resolve objections to discovery
of any discoverable matter. It is not a requests informally prior to seeking re-
ground for objection that the informa- lief from the Board.
tion sought will be inadmissible if the (f) Discovery responses. Unless other-
information sought appears reasonably wise ordered by the Board, a party is
calculated to lead to the discovery of required to respond to written inter-
admissible evidence. rogatories, requests for admission, and
(c) Discovery plan, conferences, and or- requests for production of documents,
ders. Within 30 days of the initial filing electronically stored information,
of documents in accordance with other tangible things, or entry onto
§ 22.4(a) of this part [Rule 4(a)], the par- land within 30 days of receipt.
ties shall confer and file with the (g) Duty to supplement discovery re-
Board a proposed discovery plan, which sponses. A party that has responded to
shall include estimated time frames written interrogatories, requests for
and proposed dates for completing dis- admission, or requests for production
covery and when the parties anticipate of documents, electronically stored in-
that a hearing can be scheduled. Upon formation, or other tangible things,
request of a party or on its own initia- upon becoming aware of deficiencies or
tive, the Board may at any time hold inaccuracies in its original responses,
an informal meeting or telephone con- or upon acquiring additional informa-
ference with the parties to identify tion or documents relevant thereto,
outstanding issues relating to dis- shall, as quickly as practicable, and as
covery; establish a plan and schedule often as necessary, supplement its re-
for discovery; set limitations on dis- sponses to the requesting party with
covery; compel compliance with dis- correct and sufficient additional infor-
covery; and issue such orders or deter- mation and such additional documents
mine such other matters as are nec- as are necessary to give a complete and
essary for the proper management of accurate response to the request.
discovery, including imposing sanc- (h) Voluntary cooperation. Each party
tions on the parties as may be appro- is expected to cooperate by making
priate. available witnesses and evidence under
(d) Discovery limits. On motion or on its control when requested by another
its own initiative, the Board may make party, and to secure the voluntary at-
any order necessary to protect a party tendance of third-party witnesses and
or person from annoyance, embarrass- production of evidence by third parties,
ment, oppression, or undue burden or when practicable.
expense. Such order may impose limi- (i) Motions to compel discovery. If a
tations on the scope, method, time and party refuses to comply with a dis-
place for discovery, and include provi- covery request, or a party’s response to
sions for protecting the secrecy of con- a discovery request is incomplete or

fidential information or documents. entirely absent, any other party may
33
§ 22.9 4 CFR Ch. I (1–1–11 Edition)
file a motion to compel a response. mony or evidence to the appeal. All re-
However, such motion must include a quests for subpoenas shall be filed at
representation that the moving party least 15 days before the testimony or
has tried in good faith, prior to filing evidence is to be provided, except that
the motion, to resolve the matter in- the Board may, in its discretion, honor
formally. The motion to compel shall requests for subpoenas not made within
include a copy of each discovery re- this time limitation.
quest at issue and the response, if any. (b) Service. The party requesting the
(j) Sanctions. If, after being properly subpoena shall cause the subpoena to
served with such discovery request, a be served upon the person named in the
party fails to appear for deposition, re- subpoena as soon as practicable after
spond to interrogatories or requests for the subpoena has been issued and shall
admissions, or respond to a request for provide proof of service to the Board.
production of documents, electroni- Service shall be made by any person
cally stored information, other tan- who is not a party and not less than 18
gible things, or entry onto land, the years of age by personal delivery to the
party seeking discovery may move the person named in the subpoena, and
Board to impose sanctions under § 22.10 shall include tender of the fees for one
of this part [Rule 10]. day attendance and the mileage al-
(k) Discovery motions, timing. All mo- lowed by 28 U.S.C. 1821 or other appli-
tions concerning discovery, including cable law; however, where the subpoena
motions to compel discovery, shall be is issued on behalf of the government,
filed on or before the scheduled end money payments need not be tendered
date of discovery to the maximum ex- in advance of attendance.
tent practicable. Motions that are filed (c) Motions to quash. Upon written
after the end date of discovery will not motion of the person named in the sub-
be considered except for good cause poena or a party, the Board may quash
shown. or modify the subpoena if it is unrea-
[73 FR 36258, June 26, 2008, as amended at 73 sonable and oppressive or for other
FR 60610, Oct. 14, 2008] good cause shown, or the Board may
require the party in whose behalf the
§ 22.9 Subpoenas [Rule 9]. subpoena was issued to advance the
(a) Issuance. Upon the written re- reasonable costs of producing subpoe-
quest of any party, or on the initiative naed evidence. Motions to quash or
of the Board, a subpoena may be issued modify a subpoena must be filed within
that commands the person to whom it 10 days of service of the subpoena or by
is directed to attend and give testi- the date and time specified in the sub-
mony at a deposition or hearing, and/or poena for compliance, whichever is ear-
produce documents or electronically lier.
stored information (including writings, (d) Contumacy. In the case of contu-
papers, books, accounts, photographs, macy or refusal to obey a subpoena by
drawings, graphs, charts, recordings, a person who resides, is found, or trans-
and other data or data compilations) or acts business within the jurisdiction of
other tangible things designated in the a United States district court, the
subpoena, or to permit entry onto des- Board may apply to the court through
ignated premises for inspection or the Attorney General of the United
other purposes. Requests for subpoenas States for an order requiring the per-
shall identify the Board and state the son to appear before the Board to give
name and docket number of the appeal; testimony, produce evidence, or both.
identify the name of the person to
whom the subpoena is directed; com- § 22.10 Sanctions [Rule 10].
mand the person to whom the subpoena (a) Standards. All parties and their
is directed to, at a specific place and representatives, attorneys, and any ex-
time, appear and testify, or produce perts/consultants retained by them or
designated documents, electronically their attorneys, must obey directions
stored information, or other tangible and orders prescribed by the Board and
things, or permit the inspection of des- adhere to standards of conduct applica-
ignated premises; and state the scope ble to such parties and persons. As to
and relevance of the requested testi- an attorney, the standards include the
34
rules of professional conduct and ethics rity of the Board’s process or pro-
of the jurisdictions in which an attor- ceedings. Sanctions may be public or
ney is licensed to practice, to the ex- private and may include admonish-
tent that those rules are relevant to ment, disqualification from a par-
conduct affecting the integrity of the ticular matter, referral to an appro-
Board, its process, and its proceedings. priate licensing authority, or such
The Board will also look to profes- other action as circumstances may
sional guidelines in evaluating an indi- warrant. The Board, in its discretion,
vidual’s conduct. may suspend an individual from ap-
(b) Imposition of sanctions. (1) When a pearing before the Board as a party
party or its representative or attorney representative, attorney, or expert/con-
or any expert/consultant fails to com- sultant if, after affording such indi-
ply with any direction or order issued vidual notice and an opportunity to be
by the Board (including an order to heard, a majority of all members of the
provide or permit discovery), or en- Contact Appeals Board determines that
gages in misconduct affecting the such sanction is warranted.
Board, its process, or its proceedings,
the Board may make such orders as are § 22.11 Depositions [Rule 11].
just, including the imposition of appro- (a) When depositions may be taken.
priate sanctions. The sanctions may in- After an appeal has been docketed by
clude: the Board and a complaint has been
(i) Taking the facts pertaining to the filed, either party may take the testi-
matter in dispute to be established for mony of any person by deposition upon
the purpose of the appeal in accordance oral examination or written questions,
with the contention of the party sub- for the purpose of discovery or for use
mitting the discovery request; as evidence in the appeal proceedings,
(ii) Forbidding challenge of the accu- or for both purposes.
racy of any evidence; (b) Time, place, and manner of taking.
(iii) Refusing to allow the noncompli- The time, place, and manner of taking
ant party to support or pose designated depositions shall be as mutually agreed
claims or defenses; to by the parties or, failing such agree-
(iv) Prohibiting the noncompliant ment, be governed by order of the
party from introducing in evidence des- Board.
ignated documents or items of testi- (c) Limits. The number of depositions
mony; taken shall not be limited except as
(v) Striking pleadings or parts there- the Board may require to protect a
of, or staying further proceedings until party from annoyance, burden, or har-
the order is obeyed; assment.
(vi) Dismissing the appeal or any (d) Use as evidence. No testimony
part thereof; and/or taken by deposition shall be considered
(vii) Imposing such other sanctions as part of the evidence in the hearing
as the Board deems appropriate. of an appeal unless and until such tes-
(2) Prior to imposing sanctions, the timony is offered and received in evi-
Board will provide the noncompliant dence at the hearing. Depositions ordi-
party with notice and an opportunity narily will not be received in evidence
to be heard on the issue of whether if the deponent is present and can tes-
sanctions should be imposed. The op- tify personally at the hearing; how-
portunity to be heard does not mean ever, depositions may be used to con-
that the party is entitled to a hearing; tradict or impeach the testimony of a
the opportunity to provide written ar- deponent as a witness. If only a part of
gument shall satisfy this requirement. a deposition is offered in evidence by a
(c) Disciplinary proceedings. In addi- party, an adverse party may require
tion to the above procedures, the Board the offering party to introduce any
may discipline individual party rep- other part which in fairness ought to
resentatives, attorneys, and experts/ be considered with the part introduced.
consultants for a violation of any In any case, the Board, upon the agree-
Board order or direction or standard of ment of the parties, may permit the in-
conduct applicable to such individual troduction of relevant portions of depo-

where the violation affects the integ- sitions as designated by the parties. If
35
§ 22.12 4 CFR Ch. I (1–1–11 Edition)
no hearing has been conducted and the interrogatory to specify the record(s)
appeal has been submitted on the from which the answer may be derived
record pursuant to § 22.17 of this part or ascertained and to afford the party
[Rule 17], the Board, in its discretion, serving the interrogatory a reasonable
may receive depositions in evidence to opportunity to examine, audit, or in-
supplement the record. spect such records and to make copies
thereof. Such specification shall be in
§ 22.12 Interrogatories [Rule 12]. sufficient detail to permit the interro-
(a) When interrogatories may be served. gating party to locate and to identify,
After an appeal has been docketed by as readily as can the party served, the
the Board and a complaint has been record(s) from which the answer may
filed, a party may serve on an adverse be ascertained.
party written interrogatories to be an-
swered by the party served or, if the § 22.13 Requests for Admission [Rule
party served is a public or private cor- 13].
poration or a partnership or associa- (a) When requests for admission may be
tion, by any officer or agent who shall served. (1) After an appeal has been
furnish such information as is avail- docketed by the Board and a complaint
able to the party. has been filed, a party may serve on
(b) Answers. The interrogatories shall the opposing party a written request
be answered separately and fully in for the admission by the latter of the
writing, signed under oath by the per- genuineness of any relevant documents
son answering them, and served on the described in and exhibited with the re-
party submitting the interrogatories. quest, or of the truth of any relevant
Objections to the interrogatories shall matters of fact set forth in the request.
be signed by counsel for the party re- Each of the matters for which an ad-
sponding to the interrogatories. An in- mission is requested shall be deemed
terrogatory is not necessarily objec- admitted unless, within the period des-
tionable merely because an answer to ignated in § 22.8(c) and § 22.8(f) of this
the interrogatory may involve an opin- part [Rules 8(e) and 8(f)] for responding
ion or contention that relates to fact to discovery requests, the party to
or the application of law to fact; how- whom the request is directed serves
ever, the Board may order that such in- upon the party requesting the admis-
terrogatory need not be answered until sion either:
after discovery has been completed or (i) A sworn statement denying spe-
some other event has occurred. cifically the matters for which an ad-
(c) Scope and use as evidence. Inter- mission is requested or setting forth in
rogatories may relate to any matters detail the reasons why he or she cannot
which can be inquired into under § 22.11 truthfully admit or deny those mat-
of this part [Rule 11] (Depositions), and ters, or
the answers may be used to the same (ii) Written objections on the ground
extent as provided for the use of the that some or all of the requested ad-
deposition of a party. missions are privileged or irrelevant or
(d) Limits. The number of interrog- that the request is otherwise improper
atories or sets of interrogatories to be in whole or in part.
served shall not be limited except as (2) If written objections to a part of
the Board may require to protect a the request are made, the remainder of
party from annoyance, burden, or har- the request shall be answered within
assment. the period designated in Rule 8(f). A de-
(e) Option to produce business records. nial shall fairly meet the substance of
Where the answer to an interrogatory the requested admission and, when
may be derived or ascertained from the good faith requires that a party deny
business records of the party upon only a part of a matter for which an
which the interrogatory has been admission is requested, he or she shall
served, and the burden of deriving or specify so much of it as is true and
ascertaining the answer is substan- deny only the remainder.
tially the same for the party serving (b) Limits. The number of requests for
the interrogatory as for the party admissions served shall not be limited
served, it is a sufficient answer to such except as the Board may require to
36
protect a party from annoyance, bur- § 22.15 Conferences and Orders [Rule
den, or harassment. 15].
(c) Use as evidence. Any matter ad- (a) Initial status conference. As soon as
mitted is conclusively established for practicable after the filing of the com-
the purpose of the pending action, un- plaint and answer, the Board shall
less the Board, on motion, permits schedule an initial status conference to
withdrawal or amendment of the ad- discuss the issues of the case, the pro-
mission. cedures available under the Board’s
rules of resolution of the case, and a
[73 FR 36258, June 26, 2008, as amended at 73 tentative schedule for such resolution,
FR 60610, Oct. 14, 2008] including the plan for possible dis-
covery required by Rule 8(c), the possi-
§ 22.14 Production of Documents, Elec-
tronically Stored Information, bility of alternative dispute resolution
Other Tangible Things, or Entry (see Rule 24), and the possibility of dis-
Onto Land [Rule 14]. positive motions.
(b) Status conferences and reports. At
(a) When documents, electronically any time during the appeal, the Board,
stored information, other tangible things, upon its own initiative or upon the re-
or entry onto land may be requested. quest of one of the parties, may call
After an appeal has been docketed by upon the parties or their attorneys or
the Board and a complaint has been representatives to appear before the
filed, any party may serve on any other Board (or one or more members there-
party a request— of) for a status conference to consider
(1) To produce and permit the inspec- or report on whatever matters are nec-
tion, copying, or photographing of any essary to aid in the disposition of the
designated documents or electronically appeal. Such matters may include, for
stored information (including writings, example, the simplification or clari-
papers, books, accounts, photographs, fication of issues, the necessity or de-
sirability of amendments to the plead-
drawings, graphs, charts, recordings,
ings, agreements and rulings to facili-
and other data or data compilations),
tate discovery, progress reports during
or other tangible things, not privi- discovery, and pre-hearing procedures
leged, which are in his, her, or its pos- and scheduling. Status conferences
session, custody, or control and which may be conducted in person or by tele-
are within the scope of discovery as de- phone, and the Board generally will
scribed in § 22.8(b) of this part [Rule make an order which recites the action
8(b)]; or taken at the conference(s). From time
(2) To permit entry onto designated to time, the Board also may require
land or other property in his or its pos- one or more of the parties, either joint-
session or control for the purpose of in- ly or individually, to provide status re-
specting, measuring, surveying, film- ports concerning any matter that aids
ing, or photographing the property or in the disposition of the appeal.
any designated object or operation (c) Rulings, orders, and directions. The
thereon which is within the scope of Board may make such rulings and issue
discovery as described in § 22.8(b) of such orders and directions as are nec-
this part [Rule 8(b)]. essary to secure the informal, expedi-
(b) Time, place, and manner. The re- tious, and inexpensive resolution of
quest shall specify the time, place, and every case before the Board. Any rul-
manner of making the inspection and ing, order, or direction that the Board
may make or issue pursuant to the
taking the copies and photographs. The
rules of this Board may be made on the
Board may make an order that the in-
motion of any party or on the initia-
spection, copying, measuring, sur- tive of the Board. The Board may also
veying, filming, or photographing shall amend, alter, or vacate a ruling, order,
be limited to certain matters; or the or direction upon such terms as it
Board may make any other order deems appropriate. In making rulings
which, in its discretion, it deems ap- and issuing orders and directions, the
propriate to protect the party from an- Board will take into consideration
noyance, burden, or harassment. those Federal Rules of Civil Procedure
37
§ 22.16 4 CFR Ch. I (1–1–11 Edition)
and Federal Rules of Evidence which (xi) Any other matter necessary for
address matters not specifically cov- resolution before the hearing.
ered herein. (2) As soon as practicable after re-
[73 FR 60610, Oct. 14, 2008]
ceipt of the parties’ proposed sched-
ule(s), the Board will issue an order es-
§ 22.16 Hearings [Rule 16]. tablishing a schedule for pre-hearing
submissions and events, taking into ac-
(a) Election of hearing or record submis-
count the parties’ proposed schedule,
sion. Each party shall inform the
Board, in writing, whether it elects a the nature of the case, and the sched-
hearing or submission of the case on uling needs of the Board.
the record pursuant to § 22.17 of this (c) Pre-hearing conference. Prior to
part [Rule 17]. Such election shall the hearing, the Board will conduct a
occur no later than 15 days after the pre-hearing conference to discuss such
conclusion of discovery, unless the matters as may be necessary to con-
Board directs otherwise. In the event duct an orderly and efficient hearing.
that only one party waives a hearing Objections to evidence may be resolved
and submits its case on the record, the during the pre-hearing conference or at
Board shall proceed with a hearing at- such other time as established by the
tended by the remaining parties. Board.
(b) Pre-hearing schedule. (1) Within 30 (d) Pre-hearing briefs. At least 20 days
days of the conclusion of discovery, the before a scheduled hearing, each party
parties shall meet and confer and pro- shall file, in accordance with § 22.6(b) of
vide the Board with a joint proposed this part [Rule 6(b)], a pre-hearing
schedule for pre-hearing and hearing statement of the case, which shall in-
disclosures, submissions, and key clude the party’s legal and factual
events. In the absence of agreement, analysis of the relevant issues, and how
each party shall submit its own pro- the party intends to prove its case.
posed schedule. The schedule shall ad- (e) Location of hearing. Hearings will
dress, at a minimum, deadlines for sub- be held at 441 G Street, NW., Wash-
mitting the following: ington, DC 20548, unless otherwise or-
(i) Dispositive motions, motions for dered by the Board. The Board will
summary judgment, and motions in consider a request for a hearing at an-
limine, which allow sufficient time for other location if compelling reasons
the Board to resolve the motions before are timely presented.
the hearing; (f) Notice of hearing. The parties, or
(ii) Pre-hearing briefs or statements their counsel, will be given at least 15
of the case; days notice of the time and place of a
(iii) The identification of lay and ex- hearing on the merits, provided that
pert witnesses for hearing, the general the parties may, with the approval of
substance of testimony to be offered by the Board, waive notice and fix a mutu-
each witness, and any depositions that ally satisfactory time for the hearing.
will be used in lieu of witness testi- Continuances will not be granted ex-
mony; cept upon written request and for good
(iv) The exchange of expert reports cause.
and statements (if not done during dis- (g) Nature of hearing. Hearings may
covery); be held by one or more of the panel
(v) Proposed stipulations of fact; members of the Board and shall be as
(vi) The exchange of hearing exhibit informal as may be reasonable and ap-
books; propriate under the circumstances.
(vii) The production of any additional Each party may offer the testimony of
documents to be used at the hearing witnesses, who shall be subject to
that are not already part of the § 22.4 cross-examination by the opposing
[Rule 4] file; party, and such relevant and material
(viii) Objections to proposed evidence evidence as they deem appropriate and
or § 22.4 [Rule 4] file submissions; as would be admissible under para-
(ix) Date for conducting a pre-hear- graph (h) of this section [Rule 16(h)],
ing conference; subject, however, to the sound discre-
(x) Dates and duration of the hearing; tion of the presiding Board member in
and supervising the extent and manner of
38
presentation of such evidence. Stipula- question against the party responsible

tions of fact agreed upon by the parties for providing the witness or evidence.
must be in writing, must be filed with (k) Issues not raised by the pleadings. If
the Board, and may be used as evidence evidence is objected to at a hearing on
at the hearing. The parties may also the ground that it is not within the
stipulate to the testimony that would issues raised by the pleadings, it may
be given by a witness if the witness nevertheless be admitted by the Board,
were present. The Board may at any in its discretion, if it is within the
time during the hearing require evi- proper scope of the appeal. If such evi-
dence or argument in addition to that dence is admitted, the pleadings may
put forth by the parties. be amended to conform to the evi-
(h) Admissibility and weight of evidence. The Board may also grant the
dence. In general, any relevant and ma- objecting party a continuance to en-
terial evidence that would be admis- able it to respond to the evidence.
sible under the Federal Rules of Evi- (l) Delay by the parties. If the Board
dence will be admitted to the record. determines that the hearing is being
However, evidence which may not be unreasonably delayed by the failure of
admissible under the Federal Rules of a party to produce evidence, or by the
Evidence, including hearsay, may be undue prolongation of the presentation
admitted at the discretion of the pre- of evidence, it may, by written order or
siding Board member. The Board may by ruling from the bench, prescribe a
also exclude evidence to avoid unfair time or times within which the presen-
tation of evidence must be concluded,
prejudice, confusion of the issues,
establish time limits on the direct or
undue delay, waste of time, or needless
cross-examination of witnesses, and en-
presentation of cumulative evidence.
force such order or ruling by appro-
The weight to be attached to evidence
priate sanctions.
and credibility to be accorded wit-
(m) Exhibits. Unless otherwise di-
nesses will be determined by the Board,
rected by the Board, each party shall
in its discretion.
prepare (jointly or individually) hear-
(i) Examination of witnesses. Witnesses ing exhibit books for use during the
before the Board will be examined oral- hearing, and shall provide such books
ly under oath or affirmation, unless to the Board and opposing counsel at
the facts are stipulated or the Board least 3 days before the hearing com-
shall otherwise order. If the testimony mences. The books shall consist of doc-
of a witness is not given under oath, uments (or relevant excerpts from doc-
the Board may warn the witness that uments) placed in a 3-ring binder or
his or her statements may be subject similar loose-leaf binder bound on the
to the provisions of title 18, United left margin, separated by numbered
States Code, secs. 287 and 1001, and any tabs, with an index of the documents in
other provisions of law imposing pen- the front of each binder. The index
alties for knowingly making false rep- shall identify the document by name
resentations in connection with claims and, where applicable, the § 22.4 [Rule 4]
against the United States or in any file citation (tab and Bates numbers).
matter within the jurisdiction of any Each document page included in the
department or agency thereof. exhibit books must be marked with the
(j) Availability of witnesses, documents, corresponding Bates number or appli-
and other tangible things. It is the re- cable numerical markings used in the
sponsibility of a party desiring to call § 22.4 [Rule 4] file. Documents not con-
any witness, or to use any document or tained within the hearing books shall
other tangible thing as an exhibit in be marked by the Board during the
the course of a hearing, to ensure that hearing. Documents contained in the
whoever it wishes to call and whatever hearing book that are not admitted
it wishes to use is available at the into evidence during the hearing will
hearing. In the event that a witness not become part of the record unless
does not appear or refuses to answer a already part of the § 22.4 [Rule 4] file, or
question, or evidence requested by the unless their inclusion in the record is
Board is not produced, the Board may requested by the presenting party and
draw an adverse inference of the fact in permitted by the Board.
39
§ 22.17 4 CFR Ch. I (1–1–11 Edition)
(n) Copies. Copies of documents may larations, unless authorized by the

be offered and received into evidence as Board in its discretion.
exhibits, provided that they are of [73 FR 36258, June 26, 2008, as amended at 73
equal legibility and quality as the FR 60610, Oct. 14, 2008]
originals, and such copies shall have
the same force and effect as if they § 22.17 Submission on the Record
were the originals. If the Board so di- Without a Hearing [Rule 17].
rects, the party offering a copy of a (a) General requirements. Pursuant to
document as an exhibit shall have the § 22.16(a) of this part [Rule 16(a)], either
original available at the hearing for ex- party may elect to submit its case on
amination by the Board and any other the record without a hearing. Submis-
party. When the original of a document sion of a case without a hearing does
has been received in evidence, an accu- not relieve the parties from the neces-
rate copy thereof may be substituted in sity of proving the facts supporting
evidence for the original by leave of their claims or defenses.
the Board at any time. (b) Conference in lieu of hearing. If nei-
(o) Absence of parties or counsel. The ther side desires a hearing, either party
unexcused absence of a party or his au- may request that a conference be held
thorized representative at the time and in lieu of a hearing with one or more
place set for the hearing will not be oc- members of the panel designated to de-
casion for delay. In such event, the cide the appeal, and such request may
hearing will proceed and the case will be granted at the discretion of the
be regarded as submitted by the absent Board. The purpose of the conference is
party unless he or she appears before not to introduce new matters or evi-
the conclusion of the hearing and offers dence, but to permit explanations and
additional evidence. argument of matters of record. If any
new matter is introduced at the con-
(p) Transcripts. Unless the Board or-
ference by either party, consideration
ders otherwise, all hearings will be
of the appeal will be deferred until the
stenographically or electronically re-
opposing party has been apprised there-
corded and transcribed. Other con-
of and has had an opportunity to reply.
ferences and proceedings may be re- Both parties will be afforded the right
corded or transcribed by order of the to be present at any such conference.
Board. Generally, the Board will ar- At the request of a party, or on the
range for the stenographer to record Board’s initiative, the conference may
and transcribe the proceeding. Each be stenographically or electronically
party is responsible for purchasing its recorded and transcribed pursuant to
own copy of the transcript(s) or record- § 22.16(p) of this part [Rule 16(p)].
ing(s). Waiver of recordation and tran- (c) Statement of the case. The Board,
scription may be especially suitable for at its discretion, may order a party
appeals resolved under the small that submits its case on the record
claims procedure prescribed in § 22.22(c) without a hearing to submit a written
of this part [Rule 22(c)]. statement of the case, including a legal
(q) Post-hearing briefs. The Board may and factual analysis of the relevant
require the submission of post-hearing issues, within such period of time as
briefs. In such case, briefs shall be filed the Board allows. The Board may also
within 30 days after receipt of the tran- order parties to submit reply briefs.
script of the hearing, and reply briefs Briefs will be filed in accordance with
shall be filed within 15 days after re- the requirements of § 22.6(b) of this part
ceipt of the initial post-hearing briefs, [Rule 6(b)].
unless such other time period has been
established by the Board. Post-hearing § 22.18 Closing the Record [Rule 18].
briefs shall be filed in accordance with (a) Closing the record. The record will
the requirements of § 22.6(b) of this part be closed on a date announced by the
[Rule 6(b)]. Board by written notice.
(r) Post-hearing evidence. No evidence (b) Supplementing the record after the
shall be submitted by any party after record is closed. Except as the Board
the hearing has concluded, including may otherwise order in its discretion,
but not limited to post-hearing dec- no evidence shall be received after the
40
record is closed. However, at any time record upon which the Board’s decision
after the closing of the record and prior will be rendered.
to a decision of the appeal by the
Board, at the request of a party or § 22.20 Mistakes and Corrections [Rule
upon its own initiative, the Board may 20].
reopen the record for the purpose of re- (a) To decisions and orders. Clerical
ceiving newly discovered evidence or mistakes in decisions or orders of the
for such other reason as may appear to Board may be corrected at any time on
the Board to be appropriate. the Board’s own initiative or upon mo-
tion of a party, except that if an appeal
§ 22.19 Findings and Decisions of the has been filed with another tribunal,
Board [Rule 19]. such mistakes may be corrected only
(a) Generally. All proceedings shall be with leave of that tribunal.
concluded and appeals disposed of as (b) To the official transcript. Correc-
expeditiously as possible, commensu- tions to an official transcript of a hear-
rate with sound adjudicatory proce- ing will be made only when they in-
dure. The findings and decision in each volve errors affecting its substance.
appeal shall be made by the members The Board may order such corrections
of the panel which considered that ap- on motion or on its own initiative and
peal, and the findings and decision of only after notice to the parties giving
the majority thereof shall constitute them an opportunity to object. Such
the findings and decision of the Board. corrections will ordinarily be made ei-
The absence or withdrawal of one mem- ther by hand with pen and ink or by
ber of the panel which considered that the appending of an errata sheet, or the
appeal shall not invalidate the pro- Board may require that the reporter
ceedings, and the decision of the re- provide substitute or additional pages.
maining panel members shall con-
stitute the decision of the Board. All § 22.21 Motion for Reconsideration
decisions and findings of the Board [Rule 21].
shall be made in writing and copies A motion for reconsideration, if filed
thereof shall be forwarded to the par- by either party, shall set forth specifi-
ties or their counsel. cally the ground or grounds relied upon
(b) Record upon which findings and de- to sustain the motion, and shall be
cisions are based. (1) The record upon filed within 15 days of receipt of a copy
which any decision of the Board will be of the Board’s decision. Mere disagree-
rendered consists of the following: ment with a decision, re-argument of
(i) Notice of appeal; points already made, or the presen-
(ii) Pleadings, motions, written briefs tation of new evidence that could have
and statements, and responses thereto; been presented during the appeal but
(iii) Rule 4 file and any supplements was not, are not sufficient grounds for
other than those to which an objection reconsideration. A motion pending
has been sustained; under § 22.21 [Rule 21] does not affect
(iv) Hearing exhibits other than the finality of a decision or suspend its
those to which an objection has been operation.
sustained;
(v) Orders, rulings, and directions to § 22.22 Accelerated and Small Claims
the parties issued by the Board; Procedures [Rule 22].
(vi) Written transcripts and elec- (a) Variation from standard pro-
tronic recordings of proceedings; ceedings. The ultimate purpose of any
(vii) Stipulations, party admissions, Board proceeding is to resolve fairly
depositions or parts thereof received in and expeditiously any dispute properly
evidence, and written interrogatories before the Board. The Board may at
and responses received in evidence; any time during an appeal modify the
(viii) Anything else that the Board procedures contained in these rules if
may designate. it is deemed feasible and furthers the
(2) All other documents and elec- resolution of the issue(s) in con-
tronically stored information are part troversy.
of the administrative record of the pro- (b) Accelerated procedure. The acceler-
ceedings and are not included in the ated procedure is available solely at
41
§ 22.23 4 CFR Ch. I (1–1–11 Edition)
the appellant’s election, and only when § 22.24 Alternative Dispute Resolution
the monetary amount in dispute is [Rule 24].
$100,000 or less. Such election shall be (a) Docketed appeals. The Board con-
made no later than 15 days after re- siders Alternative Dispute Resolution
ceipt of the government’s answer to (ADR) to be an efficient way to timely
the complaint, unless the Board en- resolve many contract disputes, and
larges the time for good cause shown. therefore encourages the parties to use
Promptly after receiving a timely filed ADR as an effective means to resolve
election, the Board shall establish a their contract dispute. ADR with
schedule of proceedings that will allow Board participation is available at the
for the timely resolution of the appeal. initiative of the Board or upon the
Pleadings may be simplified, discovery joint motion of both parties. Guide-
and other pre-hearing activities may be lines, procedures, and requirements for
restricted or eliminated, and the ap- implementing ADR will be prescribed
peal may be decided by a single mem- by agreement of the parties and the
ber of the Board. Either party’s failure Board. Ordinarily, ADR will be per-
to adhere to the Board’s schedule may formed by a Board member, designated
result in the Board drawing evi- by the Chairman of the Board, that is
not one of the three panel members de-
dentiary inferences adverse to the
ciding the dispute.
party at fault. Whenever possible, the
(b) Other matters. Upon request and in
Board shall resolve an appeal under the Board’s discretion, the Board can
this procedure within 180 days from the make an ADR neutral available for an
Board’s receipt of the election. ADR proceeding, even if the con-
(c) Small claims procedure. The small tracting officer’s decision has not been
claims procedure is available solely at issued or is not contemplated. Such a
the appellant’s election, and only when request should be directed to the Chair-
the monetary amount in dispute is man of the Board.
$50,000 or less (or in the case of a small
business concern is $150,000 or less). § 22.25 Protective Orders and In Cam-
Such election shall be made no later era Review [Rule 25].
than 15 days after receipt of the gov- (a) Protective orders. Upon motion of
ernment’s answer to the complaint, un- any party, or on the Board’s initiative,
less the Board enlarges the time for the Board may issue a protective order
good cause shown. Promptly after re- to hold materials under conditions that
ceiving a timely filed election, the would limit access to them on the
Board shall establish a schedule of pro- ground that such documents are privi-
ceedings that will allow for the timely leged or confidential, or sensitive in
resolution of the appeal. Pleadings may some other way. Any motion filed
be simplified, discovery and other pre- under this rule must state with speci-
hearing activities may be restricted or ficity the grounds for such limited ac-
eliminated, and the appeal may be de- cess. The manner in which such mate-
cided by a single member of the Board. rials will be held, the persons that
Either party’s failure to adhere to the shall have access to them, and the con-
ditions under which such access will be
Board’s schedule may result in the
allowed will be specified in an order of
Board drawing evidentiary inferences
the Board.
adverse to the party at fault. Whenever
(b) In camera review. Generally, all
possible, the Board shall resolve an ap- documents and evidence provided to
peal under this procedure within 120 the Board must also be provided to all
days from the Board’s receipt of the other parties to the appeal or their
election. legal counsel or representative. How-
ever, in limited circumstances, such as
§ 22.23 Suspension of Proceedings
in deciding matters of privilege, it may
[Rule 23].
be appropriate for the Board to review
At any time, the Board may suspend documents or evidence in camera. In
the proceedings by agreement of the camera review may be requested upon
parties for settlement discussions, or motion to the Board, or on the Board’s

for good cause shown. initiative. Any motion filed under this
42
rule must state with specificity the § 22.27 Ex Parte Communications

grounds for seeking in camera review. [Rule 27].
No member of the Board shall enter-
§ 22.26 Representation of Parties [Rule
tain, nor shall any person directly or
26].
indirectly involved in an appeal submit
(a) The appellant. Any appellant may to the Board, any evidence, expla-
appear before the Board represented by nation, analysis, or advice, whether
an attorney duly licensed in any State, written or oral, regarding any matter
Commonwealth, Territory, or in the at issue in an appeal without the
District of Columbia. An individual ap- knowledge and consent of the adverse
pellant may appear before the Board in party. This provision does not apply to
person; a corporation may be rep- consultation among Board members or
resented by an officer thereof; a part- to ex parte communications con-
nership or joint venture may be rep- cerning the Board’s administrative
resented by a member thereof. Under functions or procedures.
special circumstances, the Board may
authorize a contractor to appear before § 22.28 Time [Rule 28].
the Board represented by a duly au- In computing any period of time de-
thorized representative other than scribed in these rules, ‘‘days’’ refer to
those mentioned herein for the pur- calendar days, unless otherwise speci-
poses of that appeal only. fied in these rules. The first day from
(b) The respondent. The respondent which the period begins to run is not
may appear before the Board rep- counted, and when the last day of the
resented by an attorney duly licensed period is Saturday, Sunday, or a Fed-
in any State, Commonwealth, Terri- eral holiday, the period extends to the
tory, or in the District of Columbia. next day that is not a Saturday, Sun-
Such attorney shall be designated with day, or a Federal holiday. Documents
authority to represent the govern- shall be deemed ‘‘filed’’ on the date and
ment’s interests before the Board. Al- time received by the Board if received
ternatively, if not otherwise prohib- before 5:30 p.m. local time in Wash-
ited, the respondent may appear before ington, DC, or the next business day if
the Board represented by the con- received after 5:30 p.m.
tracting officer or the contracting offi- [73 FR 60610, Oct. 14, 2008]
cer’s authorized representative.
(c) Others. The Board may, on mo- § 22.29 Inspection of the Record [Rule
tion, in its discretion, permit a special 29].
or limited appearance, such as by ami- The notice of appeal, the complaint,
cus curiae. Permission to appear, if the answer, the documents required to
granted, will be for such purposes and be filed therewith pursuant to § 22.4 of
in such manner as established by the this part [Rule 4], all papers filed by
Board. the parties with the Board pursuant to
(d) Notice of appearance. An attorney these rules, and all correspondence ex-
or other duly authorized representative changed between the Board and the
representing a party before the Board parties or their attorneys shall be
shall file a notice of appearance. Such available for inspection at the offices
notice shall provide the person’s name, of the Board. Prior arrangements for
address, direct dial telephone number, inspection of the file should be made
fax number, and e-mail address. If mul- with a member of the Board.
tiple attorneys or law firms represent a
party, the contact information for each PART 25—CONDUCT IN THE GOV-
attorney shall be provided to the ERNMENT ACCOUNTABILITY OF-
Board. In such instances, the party FICE BUILDING AND ON ITS
shall designate a single attorney or in- GROUNDS
dividual as the primary point of con-
tact for the party. Notices of appear- Sec.
ance shall be filed at the commence-
25.1 Applicability and governing laws.

ment of the appeal and shall be up- 25.2 Inspection.
dated as necessary during the appeal. 25.3 Admission to the GAO building.
43
§ 25.1 4 CFR Ch. I (1–1–11 Edition)
25.4 Preservation of property. restricted to authorized persons who
25.5 Conformity with signs and directions. shall register upon entry and exit, and
25.6 Disturbances. shall, when requested, display govern-
25.7 Gambling.
25.8 Alcoholic beverages and narcotics.
ment or other identifying credentials
25.9 Soliciting, vending, and debt collec- to the guards, security staff, or other
tion. authorized individuals. Failure to com-
25.10 Posting and distributing materials. ply with such a request is a violation of
25.11 Photographs for news, advertising, or these regulations.
commercial purposes.
25.12 Dogs and other animals. § 25.4 Preservation of property.
25.13 Vehicular and pedestrian traffic.
The improper disposal of rubbish in
25.14 Weapons and explosives.
25.15 Nondiscrimination. the GAO Building or on its grounds,
25.16 Penalties. the willful destruction of or damage to
the GAO Building or to its grounds or
AUTHORITY: 31 U.S.C. 783. fixtures, the theft of property, the cre-
SOURCE: 55 FR 2359, Jan. 24, 1990, unless ation of any hazard to persons or
otherwise noted. things in the GAO Building or on its
grounds, the throwing of articles of
§ 25.1 Applicability and governing any kind from or at the GAO Building,
laws.
or the climbing on any part of the GAO
These rules and regulations, and the Building, is prohibited.
laws of the United States and the Dis-
trict of Columbia, apply to the Govern- § 25.5 Conformity with signs and direc-
ment Accountability Office (GAO) tions.
Building and its grounds, 441 G Street Persons in the GAO Building or on its
NW., in the District of Columbia, and grounds shall at all times comply with
to all persons while in the building or official signs of a prohibitory, regu-
while entering or leaving it. latory, or directory nature and with
the direction of the guards, security
§ 25.2 Inspection. staff, or other authorized individuals.
Packages, briefcases, and other con-
tainers as well as vehicles and their § 25.6 Disturbances.
contents are subject to inspection Loitering, disorderly conduct, or
while in or when being brought into, or other conduct in the GAO Building or
when being removed from the GAO on its grounds which creates loud or
Building. A full search of a person may unusual noise or a nuisance; which un-
accompany an arrest or apprehension. reasonably obstructs the usual use of
entrances, foyers, lobbies, corridors, of-
§ 25.3 Admission to the GAO building. fices, elevators, escalators, stairways,
A person may be admitted to the or parking areas; which otherwise im-
GAO Building after presentation of per- pedes or disrupts the performance of of-
sonal identification to conduct lawful ficial duties by government employees;
business with GAO, its employees, or or which prevents the general public
other tenants of the GAO Building and from obtaining the administrative
for any other purposes authorized by services provided in the GAO Building
the Comptroller General or his des- in a timely manner, is prohibited.
ignee. During normal working hours,
the GAO Building shall be open to the § 25.7 Gambling.
public unless specific circumstances re- Participating in games for money or
quire it to be closed to the public to en- other personal property or operating
sure the orderly conduct of government gambling devices, conducting a lottery
business. Outside of normal working or pool, or selling or purchasing num-
hours, the GAO Building shall be closed bers tickets in the GAO Building or on
to the public unless the Comptroller its grounds is prohibited. This prohibi-
General or his designee has approved tion shall not apply to the vending or
the after-normal-working-hours use of exchange of chances by licensed blind
the Building or portions thereof. When operators of vending facilities for any
the Building, or a portion thereof, is lottery set forth in a law of the Dis-
closed to the public, admission will be trict of Columbia and conducted by the
44
District of Columbia and authorized by sonnel Act of 1980, Public Law 96–191 (31
section 2(a)(5) of the Randolph- U.S.C. sec. 732(e));
Sheppard Act (20 U.S.C. 107, et seq.). (d) Occupants of space leased for
commercial purposes, or made avail-
§ 25.8 Alcoholic beverages and nar- able for cultural, educational, or rec-
cotics. reational use under section 1 of Public
Operating a motor vehicle while in Law 100–545, October 28, 1988, 102 Stat.
the GAO Building, its grounds or on its 2727, 2728 (31 U.S.C. 782).
entry ramps by a person under the in-
§ 25.10 Posting and distributing mate-
fluence of alcoholic beverages, narcotic rials.
drugs, hallucinogens, marijuana, bar-
biturates, or amphetamines is prohib- Posting or affixing materials, such as
ited. It is prohibited for anyone to pamphlets, handbills or flyers, on bul-
enter or be in the GAO Building or to letin boards or elsewhere in the GAO
be on its grounds while under the influ- Building or on its grounds is prohib-
ence of, or using, possessing, selling or ited, except as authorized by these
distributing any narcotic drug, rules and regulations or when such dis-
hallucinogen, marijuana, barbiturate, plays are conducted as part of author-
or amphetamine. This prohibition shall ized government activities. Distribu-
not apply in cases where the drug is tion of materials, such as pamphlets,
being used as prescribed for a patient handbills or flyers is prohibited, unless
by a licensed physician. It is prohibited conducted as part of authorized govern-
for anyone to enter the GAO Building ment activities. Any person or organi-
or its grounds, or be on the premises zation proposing to post or distribute
materials in any part of the GAO
while under the influence of alcoholic
Building or on its grounds shall first
beverages. The use of alcoholic bev-
obtain a permit from the Comptroller
erages in the GAO Building is prohib-
General or his designee and shall con-
ited except when specifically author-
duct the posting or distribution in ac-
ized by the Comptroller General or his
cordance with the guidelines provided
designee for a particular event. The
by the Comptroller General or his des-
Comptroller General or his designee
ignee. Failure to comply with those
shall be advised of such events and
guidelines is a violation of these regu-
shall inform the guards and other secu-
lations.
rity staff of the time and precise loca-
tions of these events. § 25.11 Photographs for news, adver-
tising, or commercial purposes.
§ 25.9 Soliciting, vending, and debt col-
lection. Photographs may be taken in the
GAO Building only with the approval
Soliciting alms, commercial or polit- or authorization of the Comptroller
ical soliciting, and vending of all General or his designee.
kinds, displaying or distributing com-
mercial advertising, or collecting pri- § 25.12 Dogs and other animals.
vate debts in the GAO Building is pro- Dogs and other animals, except see-
hibited. This rule does not apply to: ing eye dogs or other guide dogs, shall
(a) National or local drives for funds not be brought into the GAO Building
for welfare, health, or other purposes or on its grounds for other than official
as authorized by the ‘‘Manual on Fund purposes.
Raising Within the Federal Service,’’
issued by the U.S. Office of Personnel § 25.13 Vehicular and pedestrian traf-
Management; fic.
(b) Concessions or personal notices (a) Drivers of all vehicles entering,
posted by employees on authorized bul- leaving or while on GAO property or in
letin boards; the GAO Building shall drive in a care-
(c) Solicitation of labor organization ful and safe manner at all times and
membership or dues authorized by oc- shall comply with all posted traffic
cupant agencies under the Civil Service signs and with the signals and direc-
Reform Act of 1978 (Pub. L. 95–454) or tions of the guards, security staff, or
the General Accounting Office Per- other authorized individuals;
45
§ 25.14 4 CFR Ch. I (1–1–11 Edition)
(b) The blocking of entrances, drive- other Federal laws applicable to the
ways, walks, loading platforms or fire GAO Building.
hydrants on GAO property is prohib-
ited; and PART 27—GOVERNMENT AC-
(c) Except in emergencies, parking on COUNTABILITY OFFICE PER-
GAO property or in the GAO Building
is not allowed without a permit. Park-
SONNEL APPEALS BOARD; OR-
ing in unauthorized locations or in lo- GANIZATION
cations reserved for other persons, or
parking contrary to the direction of Sec.
posted signs or instructions of guards 27.1 The Board.
is prohibited. Vehicles parked in viola- 27.2 The Chair, Vice Chair.
tion of posted restrictions or warning 27.3 The General Counsel.
signs shall be subject to removal at the AUTHORITY: 31 U.S.C. 753.
owners’ risk and expense.
SOURCE: 58 FR 61992, Nov. 23, 1993, unless
(d) The Comptroller General or his otherwise noted.
designee may supplement this para-
graph from time to time by issuing and § 27.1 The Board.
posting such specific traffic directives
as may be required. When issued and The Government Accountability Of-
posted, such directives shall have the fice Personnel Appeals Board, herein-
same force and effect as if made a part after the Board, is composed of five
hereof. Proof that a motor vehicle was members appointed by the Comptroller
parked in violation of these regulations General, in accordance with the provi-
or directives may be taken as prima sions of 31 U.S.C. 751. For purposes of
facie evidence that the registered the regulations in this part and 4 CFR
owner was responsible for the viola- part 28, a simple majority of the Board
tion. shall constitute a quorum and a major-
ity of a quorum may act for the Board.
§ 25.14 Weapons and explosives. The Board may designate a panel of its
members or an individual Board mem-
No person while entering or in the ber to take any action within the scope
GAO Building or on its grounds shall of the Board’s authority, subject to
carry or possess firearms, other dan- later review by the Board.
gerous or deadly weapons, explosives or
items intended to be used to fabricate [64 FR 15125, Mar. 30, 1999, as amended at 68
an explosive or incendiary device, ei- FR 69297, Dec. 12, 2003]
ther openly or concealed, except for of-
ficial purposes. § 27.2 The Chair, Vice Chair.
The members of the Board shall se-
§ 25.15 Nondiscrimination. lect from among its membership a
There shall be no discrimination by Chairperson, hereinafter the Chair,
segregation or otherwise against any who shall serve as the chief executive
person or persons because of race, and administrative officer of the
creed, sex, color, or national origin in Board. The Members of the Board may
furnishing or by refusing to furnish the select from among its membership a
use of any facility of a public nature, Vice Chairperson, hereinafter the Vice
including all services, privileges, ac- Chair, who shall serve in the absence of
commodations and activities provided the Chair and in other matters dele-
in the GAO Building. gated by the Chair.
§ 25.16 Penalties. § 27.3 The General Counsel.

Whoever shall be found guilty of vio- The Chair shall select an individual
lating any rule or regulation governing and the Comptroller General shall ap-
the GAO Building is subject to a fine of point the individual selected by the
not more than $500, or imprisonment Chair to serve as the General Counsel
for not more than 6 months, or both. of the Board. The General Counsel, at
Nothing in these rules and regulations the request of the Board, shall inves-
shall be construed to abrogate any tigate matters under the jurisdiction of
46
the Board, and otherwise assist the 28.42 Discovery procedures and protective
Board in carrying out its functions. orders.
28.43 Compelling discovery.
[58 FR 61992, Nov. 23, 1993, as amended at 68 28.44 Taking of depositions.
FR 69297, Dec. 12, 2003] 28.45 Admissions of facts and genuineness of
documents.
PART 28—GOVERNMENT AC- SUBPOENAS
COUNTABILITY OFFICE PER-
SONNEL APPEALS BOARD; PRO- 28.46 Motion for subpoena.
28.47 Motion to quash.
CEDURES APPLICABLE TO 28.48 Service.
CLAIMS CONCERNING EMPLOY- 28.49 Return of service.
MENT PRACTICES AT THE GOV- 28.50 Enforcement.
ERNMENT ACCOUNTABILITY OF-
HEARINGS
FICE
28.55 Scheduling the hearing.
Subpart A—Purpose, General Definitions, 28.56 Hearing procedures, conduct and cop-
and Jurisdiction ies of exhibits.
28.57 Public hearings.
Sec. 28.58 Transcript.
28.1 Purpose and scope. 28.59 Official record.
28.2 Jurisdiction. 28.60 Briefs.
28.3 General definitions. 28.61 Burden and degree of proof.
28.4 Computation of time. 28.62 Decision on the record.
28.63 Closing the record.
Subpart B—Procedures
EVIDENCE
28.8 Informal procedural advice.
28.9 Procedures; general. 28.65 Service of documents.
28.10 Notice of petition rights. 28.66 Admissibility.
28.11 Filing a charge with the Office of Gen- 28.67 Production of statements.
eral Counsel. 28.68 Stipulations.
28.12 Special procedure for reduction in 28.69 Judicial notice.
force.
28.13 Special procedure for Workforce Re- INTERLOCULTORY APPEALS
structuring Action. 28.80 Explanation.
28.81 Procedures and criteria for certifi-
HEARING PROCEDURES FOR CASES BEFORE THE
cation.
BOARD—GENERAL
28.15 Scope and policy. BOARD DECISIONS, ATTORNEY’S FEES AND
28.16 Revocation, amendment or waiver of JUDICIAL REVIEW
rules. 28.86 [Reserved]
28.17 Internal petitions of Board employees. 28.87 Board procedures; initial decisions.
28.18 Filing a petition with the Board. 28.88 Board procedures; enforcement.
28.19 Content of response by charged party.
28.89 Attorney’s fees and costs.
28.20 Number of pleadings, service and re-
28.90 Board procedures; judicial review.
sponse.
28.21 Amendments to petitions and motions
practice.
Subpart C—Oversight Procedures
28.22 Administrative judges. 28.91 General.
28.23 Disqualification of administrative 28.92 Oversight of GAO EEO program.
judges.
28.24 Sanctions. Subpart D—Special Procedures; Equal
PARTIES, PRACTITIONERS AND WITNESSES Employment Opportunity (EEO) Cases
28.25 Representation. 28.95 Purpose and scope.
28.26 Witness fees. 28.96 Applicability of general procedures.
28.27 Intervenors. 28.97 Class actions in EEO cases.
28.28 Substitution. 28.98 Individual charges in EEO cases.
28.29 Consolidation or joinder. 28.99 Petitions to the Board in EEO cases.
28.100 [Reserved]
DISCOVERY
28.101 Termination of Board proceedings

28.40 Statement of purpose. when suit is filed in Federal District
28.41 Explanation, scope and methods. Court.
47
§ 28.1 4 CFR Ch. I (1–1–11 Edition)
Subpart E—Special Procedures; spect to employment practices within

Representation Proceedings the Government Accountability Office
(GAO), pursuant to the General Ac-
28.110 Purpose.
counting Office Personnel Act of 1980
28.111 Scope.
28.112 Who may file petitions. (GAOPA), 31 U.S.C. 751–755.
28.113 Contents of representation petitions. (b) The purpose of the rules in this
28.114 Pre-investigation proceedings. part is to establish the procedures to
28.115 Processing petitions. be followed by:
28.116 Conduct of elections. (1) The GAO, in its dealings with the
Board;
Subpart F—Special Procedures; Unfair
(2) Employees of the GAO or appli-
Labor Practices
cants for employment with the GAO, or
28.120 Authority of the Board. groups or organizations claiming to be
28.121 Unfair labor practices; Board proce- affected adversely by the operations of
dures. the GAO personnel system;
28.122 Negotiability issues. (3) Employees or organizations peti-
28.123 Standards of conduct for labor orga-
tioning for protection of rights or ex-
nizations.
28.124 Review of arbitration awards. tension of benefits granted to them
under subchapters III and IV of Chap-
Subpart G—Corrective Action, Disciplinary ter 7 of title 31, United States Code;
and Stay Proceedings and
(4) The Board, in carrying out its re-
28.130 General authority. sponsibilities under Subchapters III
28.131 Corrective action proceedings.
28.132 Disciplinary proceedings.
and IV of chapter 7 of title 31, United
28.133 Stay proceedings. States Code.
(c) The scope of the Board’s oper-
Subpart H—Appeals by Members of the ations encompasses the investigation
Senior Executive Service and adjudication of cases arising under
31 U.S.C. 753. In addition, the Board has
28.140 Personnel actions involving SES
authority for oversight of the equal
members.
28.141 Performance based actions. employment opportunity program at
GAO. This includes the review of poli-
Subpart I—Ex Parte Communications cies and evaluation of operations as
they relate to EEO objectives and,
28.145 Policy. where necessary, the ordering of cor-
28.146 Explanation and definitions.
rective action for violation of or incon-
28.147 Prohibited communications.
28.148 Reporting of communications. sistencies with equal employment op-
28.149 Sanctions. portunity laws.
(d) In considering any procedural
Subpart J—Statements of Policy or matter not specifically addressed in
Guidance these rules, the Board will be guided,
but not bound, by the Federal Rules of
28.155 Statement of policy or guidance.
Civil Procedure.
Subpart K—Access to Records [59 FR 59105, Nov. 16, 1994, as amended at 68
FR 69297, Dec. 12, 2003]
28.160 Request for records.
28.161 Denial of access to information—Ap-
§ 28.2 Jurisdiction.
peals.
(a) The Board has jurisdiction to hear
and decide the following:
SOURCE: 58 FR 61992, Nov. 23, 1993, unless (1) Proceedings in which the General
otherwise noted.
Counsel seeks to stay a personnel ac-
tion based upon an alleged prohibited
Subpart A—Purpose, General personnel practice that has occurred or
Definitions, and Jurisdiction is about to occur;
(2) Proceedings in which the General
§ 28.1 Purpose and scope. Counsel seeks corrective action for an
(a) The regulations in this part im- alleged prohibited personnel practice;
plement the Board’s authority with re- and
48
(3) Proceedings in which the General timely written EEO complaint with
Counsel seeks discipline for a GAO em- GAO before filing a timely written
ployee who has allegedly committed a grievance.
prohibited personnel practice or who (2) Other matters. If the negotiated
has engaged in prohibited political ac- grievance procedure permits the em-
tivity. ployee to grieve any matters which
(b) The Board has jurisdiction to hear would otherwise be appealable to the
any action brought by any person or Board, other than those listed in para-
group of persons in the following sub- graph (c)(1) of this section, then those
ject areas: matters may only be raised under the
(1) An officer or employee petition negotiated grievance procedure and not
involving a removal, suspension for before the Board.
more than 14 days, reduction in grade (3) Board review of final decisions
or pay, or furlough of not more than 30 from the negotiated grievance proce-
days; dure involving discrimination. If an
(2) A prohibited personnel practice employee elects to pursue a matter in-
under 31 U.S.C. 732(b)(2); volving prohibited discrimination (as
(3) The appropriateness of a unit of defined in § 28.95) through the nego-
employees for collective bargaining; tiated grievance procedure, the em-
(4) An election or certification of a ployee may ask the Board to review
collective bargaining representative; the final decision of the negotiated
(5) A matter appealable to the Board grievance procedure as it relates to the
under the labor-management relations issue of discrimination. A petition
program under 31 U.S.C. 732(e), includ- seeking such review shall be filed with
ing an unfair labor practice under 31 the Clerk of the Board within 20 days
U.S.C. 732(e)(1); of receipt of the final decision of the
(6) An action involving discrimina- negotiated grievance procedure. The
tion prohibited under 31 U.S.C. 732(f)(1); Board will not review any final deci-
and sions of the negotiated grievance pro-
(7) An issue about GAO personnel cedure other than those where prohib-
which the Comptroller General by reg- ited discrimination was raised as an
ulation decides the Board shall resolve. issue in the grievance.
(c) Special jurisdictional rules where
matters are covered by a negotiated griev- [58 FR 61992, Nov. 23, 1993, as amended at 68
FR 69298, Dec. 12, 2003]
ance procedure. If a GAO employee is
covered by a collective bargaining § 28.3 General definitions.
agreement containing a negotiated
grievance procedure that permits the In this part—
employee to grieve matters that would Administrative judge means any indi-
otherwise be appealable to the Board, vidual designated by the Board to pre-
the following special rules apply: side over a hearing conducted on mat-
(1) Matters involving discrimination, ters within its jurisdiction. An admin-
performance-based reduction in grade istrative judge may be a member of the
or removal, or adverse action. If the Board, an employee of the Board, or
negotiated grievance procedure per- any individual qualified by experience
mits the employee to grieve matters or training to conduct a hearing who is
involving prohibited discrimination (as appointed to do so by the Board. When
defined in § 28.95), performance-based a panel of members or the full Board is
reduction in grade or removal (as de- hearing a case, the Chair shall des-
scribed in 5 U.S.C. 4303) or an adverse ignate one of the members to exercise
action (as described in 5 U.S.C. 7512), the responsibilities of the administra-
then the employee may elect to raise tive judge in the proceedings.
the matter either under the negotiated Appeal means a request filed with the
grievance procedure or under the full Board for review of an initial deci-
Board’s procedures, but not both. The sion.
employee will be deemed to have elect- Board means the Government Ac-
ed the Board’s procedures if the em- countability Office Personnel Appeals
ployee files a timely charge with the Board as established by 31 U.S.C. 751
Board’s General Counsel or files a and explained in 4 CFR 27.1.
49
§ 28.4 4 CFR Ch. I (1–1–11 Edition)
Charge means any request filed with Solicitor means the attorney ap-
the PAB Office of General Counsel to pointed by the Board to provide advice
investigate any matter within the ju- and assistance to the Board in carrying
risdiction of the Board, under the pro- out its adjudicatory functions and to
visions of Subchapter IV of chapter 7 of otherwise provide assistance as di-
Title 31, United States Code. rected by the Board.
Charging Party means any person fil- Workforce Restructuring Action (WRA)
ing a charge with the PAB Office of means the release of an employee from
General Counsel for investigation. a job group by separation, demotion,
Clerk of the Board means the Clerk of reassignment requiring displacement,
the Personnel Appeals Board. or furlough for more than 30 days when
Comptroller General means the Comp- the cause of action is lack of work,
troller General of the United States. shortage of funds, insufficient per-
Days means calendar days. sonnel ceiling, reorganization or re-
Director of EEO Oversight means the alignment, an individual’s exercise of
Personnel Appeals Board Director of reemployment or reinstatement rights,
EEO Oversight. correction of skills imbalances, or re-
Executive Director means the Execu- duction of high-grade supervisory, or
tive Director of the Personnel Appeals
managerial positions.
Board.
GAO means the Government Ac- [68 FR 69298, Dec. 12, 2003]
countability Office.
General Counsel means the General § 28.4 Computation of time.
Counsel of the Board, as provided for (a) To compute the number of days
under 31 U.S.C. 752. for filing under these rules, the first
Initial Decision means the adjudica- day shall be the day after the event
tory statement of a case that is issued from which the time period begins to
by an administrative judge who is a run and the last day for filing shall be
member of or appointed by the Board. included in the computation. When the
Notice of Appeal means a pleading re- last day falls on a Saturday, Sunday or
questing that the full Board review an federal government holiday, then the
initial decision. filing deadline will be the next regular
Person means an employee, an appli- federal government workday.
cant for employment, a former em- (b) Whenever a party has the right or
ployee, a labor organization or the
is required to do some act within a pre-
GAO.
scribed period after the service of a no-
Petition means any request filed with
tice or other paper upon him or her and
the Board for action to be taken on
the notice or paper is served by mail,
matters within the jurisdiction of the
Board, under the provisions of Sub- five (5) days shall be added to the pre-
chapter IV of Chapter 7 of title 31, scribed period. Only two (2) days shall
United States Code. be added when a document is served by
Petitioner means any person filing a express mail or other form of expedited
petition for Board consideration. delivery.
Pleading means a document that ini- (c) Except as otherwise provided by
tiates a cause of action before the law, whenever an act is required or al-
Board, responds to a cause of action, lowed to be done at or within a speci-
amends a cause of action, responds to fied period of time, the time fixed or
an amended cause of action, requests the period of time prescribed may for
reconsideration of a decision, responds good cause be extended or shortened by
to such a request, requests appellate the Board or administrative judge.
review by the full Board or responds to (d) No written submission shall be ac-
such a request. cepted by the Clerk of the Board after
Request for Reconsideration means a 4 p.m., Monday through Friday.
request, filed with the administrative
judge who rendered the initial decision, [58 FR 61992, Nov. 23, 1993, as amended at 68
FR 69298, Dec. 12, 2003]

to reconsider that decision in whole or
part.
50
Subpart B—Procedures before the Board where factual issues

are in dispute.
§ 28.8 Informal procedural advice. [58 FR 61992, Nov. 23, 1993, as amended at 68
(a) Persons may seek informal advice FR 69298, Dec. 12, 2003]
on all aspects of the Board’s procedures
§ 28.11 Filing a charge with the Office
by contacting the Board’s Executive of General Counsel.
Director, Director of EEO Oversight,
(a) Who may file. (1) Any person
Solicitor, General Counsel or the Clerk
claiming to be affected adversely by
of the Board.
GAO action or inaction which is within
(b) Informal procedural advice will be the Board’s jurisdiction under Sub-
supplied within the limits of available chapter IV of Chapter 7 of Title 31,
time and staff. United States Code, may file a charge
[58 FR 61992, Nov. 23, 1993, as amended at 68 with the General Counsel.
FR 69298, Dec. 12, 2003] (2) Non-EEO class actions. One or
more persons may file a charge as rep-
§ 28.9 Procedures; general. resentative of a class in any matter
within the Board’s jurisdiction. See
(a) The procedures described in this
§ 28.97 for EEO class actions.
subpart are generally applicable to the (3) Unfair labor practice proceedings.
processing of all matters presented for Any person may file a charge alleging
consideration by the Board. Where spe- that the GAO or a labor organization
cial procedures are to be followed, they has engaged or is engaging in an unfair
will be prescribed in those subsequent labor practice. (The types of allega-
subparts to which they are particularly tions which may be included in an un-
applicable. fair labor practice charge are discussed
(b) No pleading, motion or supporting at § 28.121(a)).
memorandum filed with the Board (b) When to file. (1) Charges relating
shall exceed 60 pages, exclusive of at- to adverse and performance-based ac-
tachments. The Board or the adminis- tions must be filed within 30 days after
trative judge may waive this limita- the effective date of the action.
tion for good cause shown. Pleadings, (2) Charges relating to other per-
motions and supporting memoranda, sonnel actions must be filed within 30
and attachments thereto, shall be on days after the effective date of the ac-
standard letter-size paper (81⁄2x11). tion or 30 days after the charging party
knew or should have known of the ac-
§ 28.10 Notice of petition rights. tion.
(3) Charges which include an allega-
(a) The GAO shall be responsible for tion of prohibited discrimination shall
ensuring that employees are routinely be filed in accordance with the special
advised of their rights to petition the rules set forth in § 28.98.
Board and that employees who are the (4) Charges relating to continuing
object of an adverse or performance- violations may be filed at any time.
based action are, at the time of the ac- (c) How to file. Charges may be filed
tion, adequately advised of their rights with the Office of General Counsel by
to petition the Board. The notice in ad- personal delivery (including commer-
verse or performance-based actions cial carrier) or by mail. The address to
must be accompanied by proof of serv- be used differs for the two kinds of fil-
ice. ing.
(b) The notice in adverse or perform- (1) A charge may be filed by personal
ance-based actions shall include: delivery at the Office of General Coun-
(1) Time limits for filing a petition sel, Personnel Appeals Board, GAO,
with the Board and the address of the Suite 580, Union Center Plaza II, 820
First Street, NE., Washington, DC
Board;
20002.
(2) A copy of the Board’s regulations; (2) A charge may be filed by mail ad-
and dressed to the Office of General Coun-
(3) Notice of the right to representa- sel, Personnel Appeals Board, Suite 580,
tion, and the availability of a hearing Union Center Plaza II, 441 G Street,
51
§ 28.12 4 CFR Ch. I (1–1–11 Edition)
NW., Washington, DC 20548 or Office of vestigation under these Rules shall be

General Counsel, Personnel Appeals on official time.
Board, GAO, Suite 580, Union Center (c) Following the investigation, the
Plaza II, 820 First Street, NE., Wash- Office of General Counsel shall provide
ington, DC 20002. When filed by mail, the charging party with a Right to Pe-
the postmark shall be the date of filing tition Letter. Accompanying this let-
for all submissions to the Office of Gen- ter will be a statement of the General
eral Counsel. Counsel advising the charging party of
(d) What to file. The charging party the results of the investigation. This
should include in any charge the fol- statement of the General Counsel is
lowing information: not subject to discovery and may not
(1) Name of the charging party or a be introduced into evidence before the
clear description of the group or class Board.
of persons on whose behalf the charge (d)(1) If the General Counsel deter-
is being filed; mines that there are reasonable
(2) The names and titles of persons, if grounds to believe that the charging
any, responsible for actions the charg- party’s rights under subchapters III
ing party wishes to have the Office of and IV of chapter 7 of title 31, United
General Counsel investigate; States Code, have been violated, then
(3) The actions complained about, in- the General Counsel shall represent the
cluding dates, reasons given, and inter- charging party unless the charging
nal appeals taken; party elects not to be represented by
(4) The charging party’s reasons for the Office of General Counsel.
believing the actions to be improper; (2) If, following the investigation, the
(5) Remedies sought by the charging General Counsel determines that there
party; are not reasonable grounds to believe
(6) Name and address of the rep- that the charging party’s rights under
resentative, if any, who will act for the subchapters III and IV of chapter 7 of
charging party in any further stages of title 31, United States Code, have been
the matter; and violated, then the General Counsel
(7) Signature of the charging party or shall not represent the charging party.
the charging party’s representative. The charging party may nonetheless
(e) The General Counsel shall not file a petition with the Board in ac-
represent a petitioner when the only cordance with § 28.18.
issue is attorney fees. When attorney (3) Any charging party may represent
fees are the only issue raised in a him- or herself or obtain other rep-
charge to the Office of General Coun- resentation.
sel, the General Counsel shall transmit (e) When the charging party elects to
the charge to the Board for processing be represented by the General Counsel,
under §§ 28.18 through 28.88 as a peti- the General Counsel is to direct the
tion. representation in the charging party’s
[58 FR 61992, Nov. 23, 1993, as amended at 59 case. The charging party may also re-
FR 59106, Nov. 16, 1994; 61 FR 36810, July 15, tain a private representative in such
1996; 68 FR 69298, Dec. 12, 2003] cases. However, the role of a private
representative is limited to assisting
§ 28.12 General Counsel procedures. the General Counsel as the General
(a) The General Counsel shall serve Counsel determines to be appropriate.
on the GAO or other charged party a (f) When the General Counsel is not
copy of the charge, investigate the participating in a case, the General
matters raised in a charge, refine the Counsel may request permission to in-
issues where appropriate, and attempt tervene with regard to any issue in
to settle all matters at issue. which the General Counsel finds a sig-
(b) The General Counsel’s investiga- nificant public interest with respect to
tion may include gathering informa- the preservation of the merit system.
tion from the GAO or other charged (g) If 180 days have elapsed since the
party, and interviewing and taking filing of the charge, and the Office of
statements from witnesses. Employees General Counsel has not completed the
of GAO who are requested by the Gen- investigation and issued a Right to Pe-
eral Counsel to participate in any in- tition Letter, the charging party may
52
bring his or her case directly to the § 28.13 Special procedure for Work-
Board by filing a petition in accord- force Restructuring Action.
ance with § 28.18. If a charging party ex- In the event of a Workforce Restruc-
ercises this option to file a petition turing Action (WRA) resulting in an in-
with the Board without waiting for the dividual’s separation from employ-
completion of the investigation, the ment, an aggrieved employee may
Office of General Counsel shall not rep- choose to file a petition directly with
resent the charging party in pro- the Personnel Appeals Board, without
ceedings before the Board. The charg- first filing the charge with the PAB’s
ing party may represent him- or herself Office of General Counsel pursuant to
or obtain other representation. The Of- § 28.11. Pursuant to § 28.98, individuals
fice of General Counsel shall close the raising discrimination issues in con-
investigation of the charge upon being nection with a WRA action need not
notified by the Clerk of the Board that file a complaint with GAO’s Office of
the charging party has filed a petition Opportunity and Inclusiveness before
with the Board under this paragraph pursuing a WRA challenge alleging dis-
(g). crimination, either by filing directly
(h) Office of General Counsel settle- with the PAB or by filing a charge with
ment: Where the General Counsel under the Board’s Office of General Counsel.
paragraph (a) of this section transmits [68 FR 69299, Dec. 12, 2003]
a settlement which has been agreed to
by the parties, the settlement agree- HEARING PROCEDURES FOR CASES
ment shall be the final disposition of BEFORE THE BOARD—GENERAL
the case.
(i) Confidentiality: (1) It is the Office § 28.15 Scope and policy.
of General Counsel’s policy to protect The rules in this subpart apply to ac-
against the disclosure of documents ob- tions brought by any person, except as
tained during the investigation, as a otherwise provided in § 28.17 (con-
means of ensuring that Office’s concerning internal petitions of Board em-
tinuing ability to obtain all relevant ployees). These rules also apply to ac-
information. However, if the Office of tions brought by the General Counsel,
General Counsel files a petition with except as otherwise provided in subpart
the Personnel Appeals Board on behalf G (concerning corrective action, dis-
of a charging party pursuant to this ciplinary and stay proceedings). It is
section, that Office may disclose the the policy of the Board that these rules
identity of witnesses and a synopsis of shall be applied in a manner which ex-
their expected testimony. Documents pedites the processing of each case, but
to be offered into evidence at the hear- with due regard to the rights of all par-
ties.
ing may be disclosed as required by the
prehearing disclosure requirements of [58 FR 61992, Nov. 23, 1993, as amended at 68
§ 28.56. FR 69299, Dec. 12, 2003]
(2) Unless so ordered by a court of
competent jurisdiction, no employee of § 28.16 Revocation, amendment or
waiver of rules.
the Personnel Appeals Board Office of
General Counsel shall produce or dis- (a) The Board may revoke or amend
close any information or records ac- these regulations by publishing pro-
quired as part of the performance of posed changes within GAO and pro-
his/her official duties or because of his/ viding for a comment period of not less
her official status. Before producing or than 30 days. Following the comment
disclosing such information or records period, any changes to the rules are
pursuant to court order, an employee final once they are published in the
FEDERAL REGISTER. Notice of publica-
shall notify the General Counsel.
tion in the FEDERAL REGISTER must be
[58 FR 61992, Nov. 23, 1993, as amended at 65 published throughout GAO.
FR 80280, Dec. 21, 2000; 68 FR 69299, Dec. 12, (b) An administrative judge or the
2003] Board may waive a Board regulation in

an individual case for good cause
53
§ 28.17 4 CFR Ch. I (1–1–11 Edition)
shown if application of the regulation pedite the procedures by filing a peti-

is not required by statute. tion directly with the Board.
(b) The responsibilities and functions
§ 28.17 Internal petitions of Board em- of the Board’s General Counsel will be
ployees. assumed by an attorney who is not a
(a) The provisions of the GAO Per- current or former employee of the
sonnel Act, its implementing regula- Board or the GAO. The services of that
tions, and the Board’s procedural rules attorney, who shall be knowledgeable
apply in the same manner to employees in federal personnel matters, will be
of the Board as they do to other GAO paid for by the Board. The attorney
employees, with the following excep- will be selected by an impartial body as
tions. described below.
(1) The General Counsel serves at the (1) If agreed to by the Office of Spe-
pleasure of the Chair. The General cial Counsel or the EEOC, as appro-
Counsel may not bring any complaint priate, that body will appoint and de-
or charge concerning his or her own tail a person from among its attorneys
employment except to allege that he or to perform the functions of the General
she has been the victim of prohibited Counsel.
discrimination or a prohibited per- (2) If the Special Counsel or the
sonnel practice as defined in 31 U.S.C. EEOC does not agree to such a proce-
732 (b)(2) or (f)(1). dure, an appointment of an attorney
(2) When an employee of the Board will be sought from the Federal Medi-
believes that he or she has been denied ation and Conciliation Service (FMCS).
his or her right to equal employment (3) In any event, whoever is so ap-
opportunity, the employee shall bring pointed shall possess all of the powers
this matter to the attention of the and authority possessed by the General
Board’s Executive Director or General Counsel in employee appeal cases.
Counsel. If the matter cannot be re- (c) The adjudication responsibilities
solved within 10 days, the Executive and functions of the Board will be as-
Director shall notify the employee of sumed by a person who is not a current
his or her right to file an EEO com- or former employee of the Board or the
plaint. The employee may consult with GAO. The services of that person, who
either the Board’s Solicitor or General shall be knowledgeable in federal per-
Counsel and seek advice with regard to sonnel matters, will be paid for by the
procedural matters concerning the fil- Board. The person will be selected by
ing of an EEO charge. The employee an impartial body as described below.
shall have 20 days from service of this (1) If agreed to by the MSPB or the
notice to file an EEO charge with the EEOC, as appropriate, that body will
PAB Office of General Counsel. Upon appoint and detail one of its adminis-
receipt of an EEO charge, the General trative law judges (ALJ) or administra-
Counsel shall arrange with the Execu- tive judges (AJ) to perform the Board’s
tive Director for processing in accord- adjudicative functions.
ance with paragraph (b) of this section. (2) If neither the MSPB nor the EEOC
If the EEO allegations involve chal- agrees to such a procedure, an appoint-
lenge to a WRA-based separation, the ment of an arbitrator will be sought
employee may choose to expedite the from the FMCS.
procedures by filing a petition directly (3) In any event, whoever is so ap-
with the Board. pointed shall possess all of the powers
(3) When an employee of the Board and authority possessed by the Board
wishes to raise any other issue that in employee cases. The decision of the
would be subject to the Board’s juris- administrative law judge, administra-
diction, the employee shall file a tive judge or arbitrator shall be a final
charge with the General Counsel and decision of the Board. The procedure
the General Counsel shall arrange with for judicial review of the decision shall
the Executive Director for processing be the same as that described in § 28.90.
in accordance with paragraph (b) of (d) Any employee of the Board (other
this section. If the challenged action is than the General Counsel) who believes
a WRA-based separation from employ- that he or she is aggrieved by any per-

ment, the employee may choose to ex- sonnel matter that is not reviewable by
54
the Board under 31 U.S.C. 753(a) may (2) At least 180 days have elapsed
file a grievance as follows: from the filing of the charge with the
(1) Informal Step. The employee must Board’s Office of General Counsel and
discuss the complained of incident with that Office has not issued a Right to
his or her supervisor as soon as pos- Petition Letter; or
sible after the complained of incident. (3) The person was separated due to a
(2) Step 1. If the supervisor is unable Workforce Restructuring Action and
to resolve the matter informally to the chooses to file a petition directly with
satisfaction of the employee, then the the Board, without first filing with the
employee may file a formal grievance Board’s Office of General Counsel, as
with the supervisor. The formal griev- provided in § 28.13.
ance must be filed by the employee (b) When to file. (1) Petitions filed
with the supervisor within 20 days after pursuant to paragraph (a)(1) of this sec-
the complained of incident. The super- tion must be filed within 30 days after
visor must respond to the employee in receipt by the charging party of the
writing within 10 days. Right to Petition Letter from the
(3) Step 2. (i) If the employee is not Board’s Office of General Counsel.
satisfied with the supervisor’s re- (2) Petitions filed pursuant to para-
sponse, the employee has 10 days in graph (a)(2) of this section may be filed
which to appeal to the Chair. In this at any time after 180 days have elapsed
appeal, the employee must forward to from the filing of the charge with the
the Chair the formal grievance, the su- Board’s Office of General Counsel, pro-
pervisor’s response and a brief state- vided that that Office has not issued a
ment from the employee explaining Right to Petition Letter concerning
why the supervisor’s response is not the charge.
satisfactory. (3) Petitions filed pursuant to para-
(ii) The Chair or another member graph (a)(3) of this section must be
designated by the Chair, shall meet filed within 30 days after the effective
with the employee and discuss the mat- date of the separation due to a Work-
ter of concern within 10 days after force Restructuring Action.
service of the step 2 appeal. The Chair (c) How to file. (1) A petition may be
or designee shall issue a written resolu- filed by hand delivery at the office of
tion of the grievance. the Board, Suite 560, Union Center
(4) Step 3. Within 10 days after service Plaza II, 820 First Street NE., Wash-
of the Chair’s resolution or within 60 ington, DC 20002. It must be received by
days after initiating step 2, whichever 4 p.m., Monday through Friday, on the
occurs first, the employee may request date that it is filed.
that the full Board review the griev- (2) A petition may be filed by mail
ance. The decision of the full Board is addressed to the Personnel Appeals
the final decision in the matter. Board, GAO, Suite 560, Union Center
[58 FR 61992, Nov. 23, 1993, as amended at 59 Plaza II, 441 G Street NW., Washington,
FR 59106, Nov. 16, 1994; 61 FR 36810, July 15, DC 20548 or Personnel Appeals Board,
1996; 68 FR 69299, Dec. 12, 2003] GAO, Suite 560, Union Center Plaza II,
820 First Street NE., Washington, DC
§ 28.18 Filing a petition with the 20002. When filed by mail, the postmark
Board. shall be the date of filing for all sub-
(a) Who may file. Any person who is missions to the Board.
claiming to be affected adversely by (d) What to file. The petition shall in-
GAO action or inaction that is within clude the following information:
the Board’s jurisdiction under sub- (1) Name of the petitioner or a clear
chapter IV of chapter 7 of title 31, description of the group or class of per-
United States Code, or who is alleging sons on whose behalf the petition is
that GAO or a labor organization en- being filed;
gaged or is engaging in an unfair labor (2) The names and titles of persons, if
practice, may file a petition if one of any, responsible for actions the peti-
the following is met: tioner wishes to have the Board review;
(1) The person has received a Right to (3) The actions being complained
Petition Letter from the Board’s Office about, including dates, reasons given
of General Counsel; or and internal appeals taken;
55
§ 28.19 4 CFR Ch. I (1–1–11 Edition)
(4) Petitioner’s reasons for believing prejudice the rights of the other par-
the actions to be improper; ties or unduly delay the proceedings.
(5) Remedies sought by the peti- [58 FR 61992, Nov. 23, 1993, as amended at 68
tioner; FR 69300, Dec. 12, 2003]
(6) Name and address of the rep-
resentative, if any, who will act for the § 28.20 Number of Pleadings, service
petitioner in any further stages of the and response.
matter; and (a) Number. One original and seven
(7) Signature of the petitioner or pe- copies of all pleadings (see definition in
titioner’s representative. § 28.3) must be filed with the Board.
(e) Failure to raise a claim or defense. However, when before a single adminis-
Failure to raise a claim or defense in trative judge, one original and three
the petition shall not bar its submis- copies will be adequate unless informed
sion later unless to do so would preju- otherwise.
dice the rights of the other parties or (b) Service. (1) The Board will serve
copies of a petition upon the parties to
unduly delay the proceedings.
the proceeding by mail and/or by fac-
(f) Non-EEO class actions. One or more simile. The Board will attach a service
persons may file a petition as rep- list indicating the names and addresses
resentatives of a class in any matter of the parties to the proceeding or
within the Board’s jurisdiction. For the their designated representatives. The
purpose of determining whether it is Board will not serve copies of any
appropriate to treat a petition as a pleadings, motions, or other submis-
class action, the administrative judge sions by the parties after the initial pe-
will be guided, but not controlled, by tition.
the applicable provisions of the Federal (2) The parties shall serve on each
Rules of Civil Procedure. See § 28.97 for other one copy of all pleadings other
EEO class actions. than the initial petition. Service shall
be made by mailing, by facsimile or by
[58 FR 61992, Nov. 23, 1993, as amended at 59
FR 59106, Nov. 16, 1994; 61 FR 9090, Mar. 7, delivering personally a copy of the
1996; 61 FR 36810, July 15, 1996; 65 FR 80280, pleading to each party on the service
Dec. 21, 2000; 68 FR 69300, Dec. 12, 2003] list previously provided by the Board.
Each pleading must be accompanied by
§ 28.19 Content of response by charged a certificate of service specifying how
party. and when service was made. It shall be
the duty of all parties to notify the
(a) Within 20 days after service of a
Board and one another in writing of
copy of a petition, the GAO or other
any changes in the names or addresses
charged party shall file a response con-
on the service list.
taining at least the following: (c) Time limitations for response to
(1) A statement of the position of the pleadings. Unless otherwise specified by
charged party on each allegation set the administrative judge or this sub-
forth therein, including admissions, depart, a party shall file a response to a
nials or explanations. If the petition pleading within 20 days of the service
contains numbered paragraphs, the re- of that pleading upon the party.
sponses should reference the paragraph (d) Size limitations are set forth at
numbers. If the petition does not con- § 28.9(b).
tain numbered paragraphs, the re-
sponses should quote or otherwise FR 69300, Dec. 12, 2003]
clearly identify the specific allegations
of the petition. § 28.21 Amendments to petitions and
(2) Any other defenses to the peti- motions practice.
tion. (a) Amendments to petitions. The
(3) Designation of, and signature by, Board, at its discretion, may allow
the representative authorized to act for amendments to a petition as long as all
the charged party in the matter. persons who are parties to the pro-
(b) Failure to raise a claim or defense ceeding have adequate notice to pre-
in the response shall not bar its sub- pare for the new allegations and if to
mission later unless to do so would do so would not prejudice the rights of
56
the other parties or unduly delay the mencement of the hearing or as other-
proceedings. wise ordered by the administrative
(b) Motions practice. (1) When an ac- judge.
tion is before an administrative judge, (2) Motions for summary judgment
motions of the parties shall be filed must be accompanied by a statement of
with the Clerk of the Board and shall material facts for which there is no
be in writing except for oral motions genuine dispute and a statement of rea-
made during the hearing. An original sons in support of the motion. The mo-
and 3 copies of written motions shall be tion may be supported by documents,
filed with the Clerk of the Board. An affidavits, or other evidence.
original and 3 copies of responses in op- (3) Summary judgment will be grant-
position to written motions must be ed if the pleadings, depositions, an-
filed with the Clerk of the Board with- swers to interrogatories, admissions,
in 20 days of service of the motion un- affidavits, if any, and other documents
less the administrative judge requires a show that there is no genuine issue as
shorter time. to any material fact and that the mov-
(2) When an action is before the full ing party is entitled to judgment as a
Board, an original and 7 copies of any matter of law.
motion shall be filed with the Clerk of (4) A party moving for summary
the Board. An original and 7 copies of judgment must make a showing suffi-
any responses in opposition to motions cient to establish the existence of each
must be filed with the Clerk of the element essential to that party’s cause
Board within 20 days of service of the of action and for which that party
motion unless the Board requires a bears the burden of proof.
shorter time. (5) When a party moves for summary
(3) A party filing a motion for exten- judgment, the Board will evaluate the
sion of time, a motion for postpone- motion on its own merits, resolving all
ment of a hearing, or any other proce- reasonable inferences against the mov-
dural motion must first contact the ing party.
other party to determine whether there [68 FR 69300, Dec. 12, 2003]
is any objection to the motion and
must state in the motion whether the § 28.22 Administrative judges.
other party has any objection. (a) Exercise of authority. Administra-
(4) No motions, responses or other tive judges may exercise authority as
submissions will be accepted for filing provided in paragraph (b) of this sec-
by the Clerk of the Board after 4 p.m., tion upon their own initiative or upon
Monday through Friday. All written the motion of a party, as appropriate.
submissions shall be served simulta- (b) Authority. Administrative judges
neously upon the other parties to the shall conduct fair and impartial hear-
proceeding. A certificate of service ings and take all necessary action to
must be attached showing service by avoid delay in the disposition of all
mail, facsimile or personal delivery of proceedings. They shall have all powers
the submission to the other parties. necessary to that end unless otherwise
Further submissions by either party limited by law, including, but not lim-
may be filed only with the approval of ited to, the authority to:
the administrative judge or full Board. (1) Administer oaths and affirma-
(5) All written motions and responses tions;
thereto shall include a proposed order, (2) Issue subpoenas in accordance
where applicable. with § 28.46;
(6) Motions for extension of time will (3) Rule upon offers of proof and re-
be granted only upon a showing of good ceive relevant evidence;
cause. (4) Rule upon discovery issues as ap-
(7) Oral argument. The administrative propriate under §§ 28.42 through 28.45;
judge may allow oral argument on the (5) Convene a hearing as appropriate,
motion at his or her discretion. regulate the course of the hearing,
(c) Motions for summary judgment. (1) maintain decorum and exclude from
Either party may move for summary the hearing any disruptive persons;
judgment by filing a written motion no (6) Exclude from the hearing any wit-
later than 14 days prior to the com- ness, except the petitioner(s), whose
57
§ 28.23 4 CFR Ch. I (1–1–11 Edition)
later testimony might be colored by cluding but not limited to the in-
testimony of other witnesses, or any stances set forth in this section.
persons whose presence might have a (a) Failure to comply with an order or
chilling effect on a testifying witness; subpoena. When a party fails to comply
(7) Rule on all motions, witness and with an order or subpoena (including
exhibit lists and proposed findings; an order for the taking of a deposition,
(8) Require the filing of memoranda for the production of evidence within
of law and the presentation of oral ar- the party’s control, for an admission,
gument with respect to any question of or for production of witnesses), the ad-
law; ministrative judge may:
(9) Order the production of evidence (1) Draw an inference in favor of the
and the appearance of witnesses whose requesting party on the issue related to
testimony would be relevant, material the information sought.
and not repetitious; (2) Prohibit the party failing to com-
(10) Impose sanctions as provided ply with such order or subpoena from
under § 28.24 of this part; introducing, or otherwise relying upon,
(11) Hold prehearing conferences for evidence relating to the information
the settlement and simplification of sought.
issues; and (3) Permit the requesting party to in-
(12) Issue initial decisions, as appro- troduce secondary evidence concerning
priate. the information sought.
[58 FR 61992, Nov. 23, 1993, as amended at 68 (4) Strike any part of the pleadings
FR 69301, Dec. 12, 2003] or other submissions of the party fail-
ing to comply with such request.
§ 28.23 Disqualification of administra- (b) Failure to prosecute or defend. If a
tive judges. party fails to prosecute or defend a pe-
(a) In the event that an administra- tition, the administrative judge may
tive judge considers himself or herself dismiss the action with prejudice or
disqualified, he or she shall withdraw rule for the petitioner.
from the case, stating on the record (c) Failure to make timely filing. The
the reasons therefor, and shall imme- administrative judge may refuse to
diately notify the Board of the with- consider any motion or other action
drawal. which is not filed in a timely fashion in
(b) Any party may file a motion re- compliance with this subpart.
questing the administrative judge to [58 FR 61992, Nov. 23, 1993, as amended at 68
withdraw on the basis of personal bias FR 69301, Dec. 12, 2003]
or other disqualification and specifi-
cally setting forth the reasons for the PARTIES, PRACTITIONERS AND
request. This motion shall be filed as WITNESSES
soon as the party has reason to believe
there is a basis for disqualification. § 28.25 Representation.
(c) The administrative judge shall (a) All parties to a petition may be
rule on the withdrawal motion. If the represented in any matter relating to
motion is denied, the party requesting the petition. The parties shall des-
withdrawal may take an appeal to the ignate their representatives, if any, in
full Board. The notice of appeal, to- the petition or responsive pleading.
gether with a supporting brief, shall be Any subsequent changes in representa-
filed within 15 days of service of the de- tion shall also be in writing, and sub-
nial of the motion. Upon receipt of the mitted to the administrative judge and
appeal, the Board will determine served upon the other parties. Once a
whether a response from the other party has designated a representative,
party or parties is required, and if so, all documents required by the Board’s
will fix by order the time for the filing regulations to be served upon the party
of the response. shall instead be served upon the rep-
resentative.
§ 28.24 Sanctions. (b) A party may choose any rep-
The administrative judge may im- resentative so long as the person is
pose sanctions upon the parties as nec- willing and available to serve. How-
essary to serve the ends of justice, in- ever, the other party or parties may
58
challenge the representative on the (c) Witnesses who are not covered by
grounds of conflict of interest or con- paragraphs (a) or (b) of this section are
flict of position. This challenge must entitled to the same witness fees as
be made by motion to the administra- those paid to subpoenaed witnesses
tive judge within 10 days of service of under 28 U.S.C. 1821. The fees shall be
the notice of designation, and shall be paid, in the first instance, by the party
ruled upon by the administrative judge requesting the appearance of the wit-
prior to any further proceeding in the ness, subject to a subsequent decision
case. These procedures apply equally to otherwise in accordance with § 28.89,
original and subsequent designations of concerning the award of attorneys fees
representatives. In the event the se- and costs. Such fees shall be tendered
lected representative is disqualified, to the witness at the time the sub-
the party affected shall be given a rea- poena is served, or, when the witness
sonable time to obtain another rep- appears voluntarily, at the time of ap-
resentative. pearance. A federal agency or corpora-
(c) The administrative judge, on his tion is not required to tender witness
or her own motion, may disqualify a fees in advance. Payment of travel and
party’s representative on the grounds per diem expenses shall be governed by
described in paragraph (b) of this sec- applicable law and regulation.
tion.
(d) When the General Counsel is the
[58 FR 61992, Nov. 23, 1993, as amended at 68 petitioner or is representing the peti-
FR 69301, Dec. 12, 2003] tioner, the General Counsel shall pay
the witness fees and arrange for the
§ 28.26 Witness fees.
travel and per diem expenses that are
The costs involved in the appearance required by paragraph (c) of this sec-
of witnesses in any Board proceeding tion.
shall be allocated as follows:
(a) Persons employed by the GAO § 28.27 Intervenors.
shall, upon request by the administra-
tive judge to GAO, be made available (a) Intervenors are persons who are
to participate in the hearing and shall allowed to participate in a proceeding
be in official duty status for this pur- because the proceeding, or its outcome,
pose and shall not receive witness fees. may affect their rights or duties.
Payment of travel and per diem ex- (b) Any person may, by motion to the
penses shall be governed by applicable administrative judge, request permis-
laws and regulations. sion to intervene. The motion shall
(b) Employees of other federal agen- state the reasons why the person
cies called to testify at a Board hearing should be permitted to intervene. A
shall, at the request of the administra- person alleged to have committed a
tive judge and with the approval of the prohibited personnel practice under 5
employing agency, be in official duty U.S.C. 2302(b) may request permission
status during any period of absence to intervene under this section.
from their normal duties caused by (c) A motion for permission to inter-
their testimony, and shall not receive vene will be granted where a deter-
witness fees. Payment of travel and per mination is made by the administra-
diem expenses shall be governed by ap- tive judge or the Board, where the case
plicable laws and regulations. A party is being heard en banc, that the re-
planning to call an employee of an- questor will be affected directly by the
other federal agency as a witness shall outcome of the proceeding. Denial of a
promptly notify the administrative motion for intervention may be ap-
judge of the need to submit to the fed- pealed to the full Board. Such an ap-
eral agency a request that the em- peal shall be filed within 10 days of
ployee be granted official duty status. service of the denial of the motion to
In the event that the employing agency intervene.
refuses the request to release the em- (d) Intervenors who are granted per-
ployee-witness in an official duty sta- mission to intervene will be considered
tus, the employee-witness may be paid full parties to the hearing and will
a witness fee in accordance with para- have the same rights and duties as a
graph (c) of this section. party with two exceptions:
59
§ 28.28 4 CFR Ch. I (1–1–11 Edition)
(1) Intervenors will not have an inde- as to avoid delay and to facilitate adju-
pendent right to a hearing. dication of the case. The parties are ex-
(2) Intervenors may participate in pected to initiate and complete needed
Board proceedings only on the issues discovery with a minimum of Board
affecting them, as determined by the intervention.
administrative judge or Board.
§ 28.41 Explanation, scope and meth-
[58 FR 61992, Nov. 23, 1993, as amended at 68 ods.
FR 69301, Dec. 12, 2003]
(a) Explanation. Discovery is the
§ 28.28 Substitution. process apart from the hearing where-
by a party may obtain relevant infor-
(a) If a petitioner dies or is otherwise
mation from another person, including
unable to pursue the petition, the ac-
a party, which has not otherwise been
tion may be completed upon substi- provided. Relevant information in-
tution of a proper party. cludes information which appears rea-
(b) A motion for substitution shall be sonably calculated to lead to the dis-
filed by the proper party within 90 days covery of admissible evidence. This in-
after the death of the petitioner or formation is obtained for the purpose
other disabling event. of assisting the parties in developing,
[58 FR 61992, Nov. 23, 1993, as amended at 68 preparing, and presenting their cases.
FR 69301, Dec. 12, 2003] The Federal Rules of Civil Procedure
may be used as a general guide for dis-
§ 28.29 Consolidation or joinder. covery practices in proceedings before
(a) Explanation. (1) Consolidation the Board, except as to matters specifi-
may occur where two or more parties cally covered by these regulations. The
have cases which should be united be- Federal Rules of Civil Procedure shall
cause they contain identical or similar be interpreted as instructive rather
issues or in such other circumstances than controlling.
as justice requires. (b) Scope. Any person may be exam-
(2) Joinder may occur where one per- ined pursuant to paragraph (c) of this
son has two or more petitions pending section regarding any nonprivileged
and they are united for consideration. matter which is relevant to the issue
For example, a single petitioner who under review, including the existence,
has one petition pending challenging a description, nature, custody, condition
30-day suspension and another petition and location of documents or other
pending challenging a subsequent dis- tangible things, and the identity and
missal might have the cases joined. location of persons having knowledge
(b) Action by administrative judge. An of relevant facts. The information
administrative judge may consolidate sought must appear reasonably cal-
or join cases on his or her own initia- culated to lead to the discovery of ad-
tive or on the motion of a party if to do missible evidence.
so would expedite processing of the (c) Methods. Discovery may be ob-
cases and not adversely affect the in- tained by one or more of the methods
terests of the parties. provided under the Federal Rules of
Civil Procedure, including written in-
FR 69301, Dec. 12, 2003] terrogatories, depositions, production
of documents or things for inspection
DISCOVERY or copying, and requests for admission
addressed to parties.
§ 28.40 Statement of purpose.
Proceedings before the Board shall be FR 69301, Dec. 12, 2003]
conducted as expeditiously as possible
with due regard to the rights of the § 28.42 Discovery procedures and pro-
parties. Discovery is designed to enable tective orders.
a party to obtain relevant information (a) Discovery from a party. A party
needed for presentation of the party’s seeking discovery from another party
case. These regulations are intended to shall initiate the process by serving a
provide a simple method of discovery. request for discovery on the other

They will be interpreted and applied so party. For purposes of discovery under
60
these regulations, a party includes an (i) A copy of the original request

intervenor. served on the party from whom dis-
(1) Each request for discovery shall covery was sought and a statement
state the time limit for responding, as showing the relevancy and materiality
prescribed in paragraph (d) of this sec- of the information sought; and
tion. (ii) A copy of the objections to dis-
(2) In the case of a request for deposi- covery or, where appropriate, a verified
tion of a party, reasonable notice in statement that no response has been
writing shall be given to every party to received.
the action. The notice shall: (3) The party from whom discovery
(i) Specify the time and place of the was sought shall respond to the motion
taking of the deposition; and to compel within the time limits set
(ii) Be served on the person to be de- forth in paragraph (d)(4) of this section.
posed. (d) Time limits. (1) Requests for dis-
(3) When a request for discovery is di- covery shall be served within 30 days
rected to an officer or employee of after the service list is served by the
GAO, the agency shall make the officer Board on all parties.
or employee available on official time (2) A party or nonparty shall respond
for the purpose of responding to the re- to a discovery request within 20 days
quest and shall assist the officer or em- after service of the request on the
ployee as necessary in providing rel- party or nonparty. Any discovery re-
evant information that is available to quests following the initial request
the agency. shall be served within 10 days of the
(b) Discovery from a nonparty. Parties date of service of the prior response,
are encouraged to attempt to obtain unless otherwise directed. Deposition
voluntary discovery from nonparties witnesses shall give their testimony at
whenever possible. A party seeking dis- the time and place stated in the notice
covery from a nonparty may initiate of deposition-taking or in the sub-
the process by serving a request for dis- poena, unless the parties agree other-
covery on that nonparty and on all wise.
other parties to the proceeding. When a (3) In responding to a discovery re-
party is unable to obtain voluntary co- quest, a party or nonparty shall re-
operation, the party may request that spond as fully as possible, except to the
the administrative judge issue a sub- extent that the party or nonparty ob-
poena by following the procedures set jects to the discovery or requests a pro-
forth in § 28.46. tective order. Any objection or request
(c) Responses to discovery requests. (1) for a protective order shall be filed
A party shall answer a discovery re- within the time limits set forth in
quest within the time provided by paragraph (d)(2) of this section. Any
paragraph (d)(2) of this section either objection shall be addressed to the
by furnishing to the requesting party party requesting discovery and shall
the information or testimony re- state the particular grounds for the ob-
quested or agreeing to make deponents jection. Any request for a protective
available to testify within a reasonable order shall state the grounds for the
time, or by stating an objection to the protective order and shall be served on
particular request and the reasons for the administrative judge and any other
objection, or by requesting a protective parties to the action. The administra-
order. tive judge shall rule on the request for
(2) Upon failure or refusal of a party a protective order.
to respond in full to a discovery re- (4) Motions for an order compelling
quest, the requesting party may file discovery shall be filed with the admin-
with the administrative judge a motion istrative judge within 10 days of the
to compel discovery. The time limits service of objections or within 10 days
applicable to a motion to compel are of the expiration of the time limits for
set forth in paragraph (d)(4) of this sec- response when no response or an al-
tion. A copy of the motion shall be leged inadequate response is received.
served on the other parties. The mo- Opposition to a motion to compel must
tion shall be accompanied by: be filed with the administrative judge
61
§ 28.43 4 CFR Ch. I (1–1–11 Edition)
within 10 days of the date of service of (b) Within the time period prescribed
the motion. by § 28.42(d)(2), the party on whom the
(5) Discovery shall be completed by request is served must submit to the
the time designated by the administra- requesting party:
tive judge, but no later than 65 days (1) A sworn statement specifically de-
after the service of the notice of filing nying, admitting, or expressing a lack
of a petition. A later date may be set of knowledge after making reasonable
by the administrative judge after due inquiry regarding the specific matters
consideration of the particular situa- on which an admission is requested;
tion including the dates set for hearing and/or
and closing of the case record. (2) An objection to the request for an
[58 FR 61992, Nov. 23, 1993, as amended at 68 admission, in whole or in part, on the
FR 69301, Dec. 12, 2003] grounds that the matters contained
therein are privileged, irrelevant, or
§ 28.43 Compelling discovery. otherwise improper.
(a) Motion for an order compelling dis- (c) Upon a failure or refusal of a
covery. Motions for orders compelling party to respond to a request for ad-
discovery shall be submitted to the admissions within the prescribed time pe-
ministrative judge as set forth at riod, the request shall be deemed ad-
§ 28.42(c)(2) and (d)(4) above. mitted.
(b) Content of order. Any order issued
may include, where appropriate: SUBPOENAS
(1) Provision for notice to the person
§ 28.46 Motion for subpoena.
to be deposed as to the time and place
of such deposition. (a) Authority to issue subpoenas. Any
(2) Such conditions or limitations member of the Board may issue sub-
concerning the conduct or scope of the poenas requiring the attendance and
proceedings or the subject matter as testimony of witnesses and the produc-
may be necessary to prevent undue tion of documentary or other evidence
delay or to protect any party or depo- from any place in the United States or
nent from undue expense, embarrass- any territory or possession thereof, the
ment or oppression. Commonwealth of Puerto Rico, or the
(3) Limitations upon the time for District of Columbia. Any member of
conducting depositions, answering the Board may order the taking of
written interrogatories, or producing depositions or order responses to writ-
documentary evidence. ten interrogatories.
(4) Other restrictions upon the dis- (b) Motion. (1) A motion for the
covery process as determined by the issuance of a subpoena requiring the
administrative judge. attendance and testimony of witnesses
(c) Failure to comply with an order or the production of documents or
compelling discovery may subject the other evidence under § 28.46(a) shall be
noncomplying party to sanctions under submitted to the administrative judge
§ 28.24. at least 15 days in advance of the date
scheduled for the commencement of
§ 28.44 Taking of depositions. the hearing.
Depositions may be taken before any (2) If the subpoena is sought as part
person not interested in the outcome of of the discovery process, the motion
the proceedings who is authorized by shall be submitted to the administra-
law to administer oaths. tive judge at least 15 days in advance of
the date set for the attendance of the
§ 28.45 Admission of facts and genuine- witness at a deposition or the produc-
ness of documents. tion of documents.
(a) Any party may be served with re- (c) Forms and showing. Motions for
quests for the admission of the genu- subpoenas shall be submitted in writ-
ineness of any relevant documents ing to the administrative judge and
identified within the request or the shall specify with particularity the
truth of any relevant matters of fact or books, papers, or testimony desired and
application of law to the facts as set shall be supported by a showing of gen-

forth in the request. eral relevance and reasonable scope
62
and a statement of the facts expected GAO, upon request of the administra-
to be proven thereby. tive judge, shall provide appropriate
hearing space. Motions for postpone-
FR 69301, Dec. 12, 2003] ment by either party shall be made in
writing, shall set forth the reasons for
§ 28.47 Motion to quash. the request and shall be granted only
Any person against whom a subpoena upon a showing of good cause. When
is directed may file a motion to quash the parties agree on postponement, mo-
or limit the subpoena setting forth the tions may be made orally and shall be
reasons why the subpoena should not granted only upon a showing of good
be complied with or why it should be cause.
limited in scope. This motion shall be § 28.56 Hearing procedures, conduct
filed with the administrative judge and copies of exhibits.
within 20 days after service of the sub-
poena. (a) The Board may designate one or
more administrative judges to conduct
§ 28.48 Service. hearings on appropriate matters.
(b) The hearing will be conducted as
Service of a subpoena may be made an administrative proceeding and, ordi-
by a United States Marshal or Deputy narily, the rules of evidence will not be
Marshal or by any person who is over strictly followed.
18 years of age and not a party to the (c) Parties will be expected to
proceeding. present their cases in a concise manner
§ 28.49 Return of service. limiting the testimony of witnesses
and submission of documents to rel-
When service of a subpoena is ef- evant matters.
fected by a person other than a United (d) Any party to a hearing offering
States Marshal or Deputy Marshal, exhibits into the record shall submit
that person shall certify on the return the original of each such exhibit to the
of service that service was made either: court reporter, two copies to the ad-
(a) In person, ministrative judge, plus one copy for
(b) By registered or certified mail, or each opposing party that is separately
(c) By delivery to a responsible per- represented.
son (named) at the residence or place of (e) Each party to a proceeding shall
business (as appropriate) of the person be responsible for bringing the proper
to be served.
number of copies of an exhibit to the
§ 28.50 Enforcement. hearing.
(f) Multipage exhibits shall be pagi-
If a person has been served with a nated in the lower right hand corner
Board subpoena but fails or refuses to and the first page shall indicate the
comply with its terms, the party seek- total number of pages in the exhibit.
ing compliance may file a written mo- Multiple exhibits shall be indexed and
tion for enforcement with the adminis- tabbed.
trative judge or make an oral motion (g) No later than the commencement
for enforcement while on record at a of the hearing, each party shall submit
hearing. The party shall present the re- to the administrative judge, to the
turn of service and, except where the court reporter, and to the opposing
witness was required to appear before party: (1) A typed list of the witnesses
the administrative judge, shall submit expected to be called to testify; and (2)
affidavit evidence of the failure or re- a typed list of the acronyms (with defi-
fusal to obey the subpoena. The Board nitions) expected to be used by the wit-
may then request the appropriate nesses.
United States district court to enforce
the subpoena. [58 FR 61992, Nov. 23, 1993, as amended at 68
FR 69301, Dec. 12, 2003]
HEARINGS
§ 28.57 Public hearings.
§ 28.55 Scheduling the hearing. (a) Hearings shall be open to the pub-
The notice of initial hearing shall fix lic. However, the administrative judge
the date, time and place of hearing. at his or her discretion, may order a
63
§ 28.58 4 CFR Ch. I (1–1–11 Edition)
hearing or any part thereof closed, § 28.59 Official record.

where to do so would be in the best in- The transcript of testimony and the
terests of the petitioner, a witness, the exhibits, together with all papers and
public, or other affected persons. Any motions filed in the proceedings, shall
order closing the hearing shall set constitute the exclusive and official
forth the reasons for the administra- record.
tive judge’s decision. Any objections
thereto shall be made a part of the § 28.60 Briefs.
record. (a) Length. Principal briefs shall not
(b) At the hearing, the petitioner, the exceed 60 pages and reply briefs 30
petitioner’s representative, GAO’s legal pages, exclusive of tables and pages
representative, and a GAO manage- limited only to quotations of statutes,
ment representative, who is not ex- rules, and the like. Motions to file ex-
pected to testify, each have a right to tended briefs shall be granted only for
be present. The Agency management good cause shown. Briefs in excess of 10
representative shall be designated pages shall include an index and a table
prior to the hearing. of authorities.
(b) Format. Every brief must be easily
[58 FR 61992, Nov. 23, 1993, as amended at 68 readable. Pages must be 81⁄2×11 inches
FR 69301, Dec. 12, 2003]
with margins at least one inch on all
§ 28.58 Transcript. sides. Typewritten briefs must have
double spacing between each line of
(a) Preparation. A verbatim record text, except for quoted texts which
made under supervision of the adminis- may be single spaced.
trative judge shall be kept of every (c) Number of copies. An original and 3
hearing and shall be the sole official copies of each brief shall be filed with
record of the proceeding. Upon request, the administrative judge and one copy
a copy of a transcript of the hearing served on each party separately rep-
shall be made available to each party. resented. When an action is before the
Additional copies of the transcript full Board, an original and seven copies
shall be made available to a party upon of each brief must be filed with the
payment of costs. Exceptions to the Board and one copy served on each
payment requirement may be granted party separately represented.
for good cause shown. A motion for an
§ 28.61 Burden and degree of proof.
exception shall be made in writing and
accompanied by an affidavit setting (a) In appealable actions, as defined
forth the reasons for the request and by 5 U.S.C. 7701(a), agency action must
shall be granted upon a showing of be sustained by the Board if:
good cause. Requests for copies of tran- (1) It is a performance-based action
scripts shall be directed to the Clerk of and is supported by substantial evi-
dence; or
the Board. The Clerk of the Board may,
(2) It is brought under any other pro-
by agreement with the person making
vision of law, rule, or regulation as de-
the request, make arrangements with
fined by 5 U.S.C. 7701(a) and is sup-
the official hearing reporter for re- ported by a preponderance of evidence.
quired services to be charged to the re- (b) Notwithstanding paragraph (a) of
quester. this section, the agency’s decision shall
(b) Corrections. Corrections to the of- not be sustained if the petitioner:
ficial transcript will be permitted. Mo- (1) Shows harmful error in the appli-
tions for correction must be submitted cation of the agency’s procedures in ar-
within 30 days of service of the tran- riving at such decision;
script upon the party. Corrections of (2) Shows that the decision was based
the official transcript will be permitted on any prohibited personnel practice
only when errors of substance are in- described in 4 CFR 2.5; or
volved and only upon approval of the (3) Shows that the decision was not
administrative judge. The administra- in accordance with law.
tive judge may make changes at any (c) In any other action within the
time with notice to the parties. Board’s jurisdiction, the petitioner
64
shall have the responsibility of pre- matter had been adjudicated in an evi-
senting the evidence in support of the dentiary hearing.
action and shall have the burden of [68 FR 69302, Dec. 12, 2003]
proving the allegations of the appeal
by a preponderance of the evidence. § 28.63 Closing the record.
(d) Definitions. For purposes of this (a) When there is a hearing, the
section, the following definitions shall record shall be closed at the conclusion
apply: of the hearing. However, when the ad-
Harmful error means error by the ministrative judge allows the parties
agency in the application of its proce- to submit argument, briefs or docu-
dures which, in the absence or cure of ments previously identified for intro-
the error, might have caused the agen- duction into evidence, the record shall
cy to reach a conclusion different from be left open for such time as the ad-
the one reached. ministrative judge grants for that pur-
Preponderance of the evidence means pose.
(b) Once the record is closed, no addi-
that degree of relevant evidence which
tional evidence or argument shall be
a reasonable person, considering the
accepted into the record except upon a
record as a whole, would accept as suf- showing that new and material evi-
ficient to support a conclusion that the dence has become available which was
matter asserted is more likely to be not available despite due diligence
true than not true. prior to the closing of the record. How-
Substantial evidence means that de- ever, the administrative judge shall
gree of relevant evidence which a rea- make part of the record any motions
sonable person, considering the record for attorney fees, any supporting docu-
as a whole, might accept as adequate mentation, and determinations there-
to support a conclusion, even though on, and any approved correction to the
other reasonable persons might dis- transcript.
agree. This is a lower standard of proof [58 FR 61992, Nov. 23, 1993. Redesignated at 68
than preponderance of the evidence. FR 69302, Dec. 12, 2003]
FR 69302, Dec. 12, 2003]
EVIDENCE
§ 28.65 Service of documents.
§ 28.62 Decision on the record.
Any document submitted with regard
(a) The parties may agree to forego a to any pleading, motion, or brief shall
hearing and request that the matter be be served upon all parties to the pro-
decided by the presiding administra- ceeding.
tive judge based upon the record sub-
mitted. § 28.66 Admissibility.
(b) If the parties agree to forego a Evidence or testimony may be ex-
hearing under this subpart, the record cluded from consideration by the ad-
will close on the date that the adminis- ministrative judge if it is irrelevant,
trative judge sets as the final date for immaterial, unduly repetitious or pro-
the receipt or filing of submissions of tected by privilege. The administrative
the parties. Once the record closes, no judge is not bound by formal evi-
additional evidence or argument will dentiary rules but may rely on the
be accepted unless the party seeking to Federal Rules of Evidence for guidance.
submit it demonstrates that the evi- [68 FR 69302, Dec. 12, 2003]
dence was not available before the
record closed. § 28.67 Production of statements.
(c) In matters submitted for decision After an individual has given evi-
on the record under this section, the dence in a proceeding, any party may
parties bear the same burdens of proof request a copy of any prior signed
set forth in § 28.61. statement made by that individual
(d) A decision obtained under this which is relevant to the evidence given.
section is a decision on the merits of If the party refuses to furnish the

the case and is appealable as if the statement, the administrative judge
65
§ 28.68 4 CFR Ch. I (1–1–11 Edition)
may draw an adverse inference from denial will cause undue harm to a
the failure to produce or may exclude party or the public.
the relevant evidence given by the in- (b) The administrative judge may, on
dividual from consideration. motion of a party or on his or her own
motion, certify an interlocutory ruling
§ 28.68 Stipulations. to the Board for its immediate consid-
The parties may stipulate as to any eration. Any such certification shall
matter of fact. Such a stipulation will explain the basis on which the adminis-
satisfy a party’s burden of proving the trative judge concluded that the stand-
fact alleged. ards for interlocutory review have been
met. If the Board nevertheless deter-
§ 28.69 Judicial notice. mines that the certification does not
The administrative judge on his or meet those standards it may decline to
her own motion or on motion of a accept the certification.
party, may take judicial notice of a (c) A motion for certification to the
fact which is not subject to reasonable Board of an interlocutory ruling by the
dispute because it is either: a matter of administrative judge shall be filed
common knowledge; or a matter capa- within 10 days after service of the rul-
ble of accurate and ready determina- ing upon the parties. The motion shall
tion by resort to sources whose accu- include arguments in support of both
racy cannot reasonably be questioned. the certification and the determination
Judicial notice taken of any fact satis- to be made by the Board. Responses, if
fies a party’s burden of proving the fact
any, shall be filed within 10 days after
noticed.
service of the motion.
[68 FR 69302, Dec. 12, 2003] (d) The grant or denial of a motion
for certification of an interlocutory
INTERLOCUTORY APPEALS ruling shall not be appealable. The ad-
ministrative judge shall promptly
§ 28.80 Explanation.
bring a denial of such a motion, and
An interlocutory appeal is an appeal the reasons therefor, to the attention
to the Board of a ruling made by an ad- of the Board. If, upon its consideration
ministrative judge during the course of of the motion and the underlying
a proceeding. This appeal may be per- record, the Board believes that inter-
mitted by the administrative judge if locutory review is warranted, it may
he or she determines that the issue pre- grant the motion sua sponte.
sented is of such importance to the
(e) Upon its acceptance of a ruling of
proceeding that it requires the Board’s
the administrative judge for interlocu-
immediate attention. The Board makes
tory review, the Board shall issue an
a decision on the issue and the admin-
istrative judge acts in accordance with order setting forth the procedures that
that decision. will be followed in the conduct of that
review.
§ 28.81 Procedures and criteria for cer- (f) Unless otherwise directed by the
tification. Board, the stay of any proceedings dur-
(a) Interlocutory review by the Board ing the pendency of either a motion for
of a ruling by the administrative judge certification or an interlocutory re-
during the course of the proceeding is view itself shall be within the discre-
disfavored and will be permitted only tion of the administrative judge.
in circumstances where: (g) The denial of a motion for certifi-
(1) The ruling involves an important cation does not affect the right of the
question of law or policy about which parties to challenge interlocutory rul-
there is substantial ground for dif- ings in the course of the review by the
ference of opinion; and Board of initial or recommended deci-
(2) An immediate review of the ruling sions.
by the Board will materially advance

the completion of the proceeding, or
66
BOARD DECISIONS, ATTORNEY’S FEES administrative judge’s or panel’s dis-

AND JUDICIAL REVIEW position of a request for reconsider-
ation (whichever comes later) unless,
§ 28.86 [Reserved] prior to the expiration of the 30 day pe-
riod, the parties are notified in writing
§ 28.87 Board procedures; initial deci- that the full Board intends to review
sions.
the initial decision in whole or in part
(a) When a case is heard in the first on its own motion. Such review sua
instance by a single Board member, a sponte will normally be conducted only
panel of members, or a non-member ap- if a majority of the Board concludes
pointed by the Board, an initial deci- that one or more issues of law ad-
sion shall be issued by that member, dressed in the initial decision are of
panel or individual and served upon the such importance as to warrant consid-
parties. eration by the full Board notwith-
(b) An aggrieved party may seek re- standing the absence of appeal. Issues
consideration of or may appeal the ini- so qualifying shall be identified in the
tial decision in the following manner: Board’s notice and the parties shall be
(1) Within 10 days of the service of provided an opportunity to brief them
the initial decision, such a party may prior to the Board’s decision.
file and serve a request for reconsider- (e) Oral argument on an appeal or in
ation with the administrative judge or connection with a sua sponte review
panel rendering that decision. Filing of shall be held in the discretion of the
the request for reconsideration shall Board. Any party may request that the
toll the commencement of the 15 day Board exercise its discretion in that re-
period for filing a notice of appeal with gard.
the full Board, pending disposition of (f) Upon appeal or following its re-
the request for reconsideration by the view sua sponte, the Board may affirm,
administrative judge or panel. The ad- reverse, modify or vacate the initial
ministrative judge or panel shall deter- decision in whole or in part. If deemed
mine if a response is required, and if so, warranted, the Board may remand the
will fix by order the time for the filing proceeding to the single member or
of the response. A motion for reconsid- panel for further action, including the
eration will not be granted without reopening of the record for the taking
providing an opportunity for response. of additional evidence. Unless the full
(2) Within 15 days of the service of Board expressly retains jurisdiction,
the initial decision, such a party may the single member or panel shall
appeal to the full Board by filing and render, on completion of the remand, a
serving a notice of appeal to the Board. supplemental initial decision which
(c) Within 25 days following the filing shall be subject to appellate review in
of a notice of appeal to the full Board, the same manner and to the same ex-
the appellant shall file and serve a sup- tent as provided for initial decisions in
porting brief. That brief shall identify paragraphs (b), (d) and (g) of this sec-
with particularity those findings or tion. If the Board does expressly retain
conclusions in the initial decision that jurisdiction at the time of remand, the
are challenged and shall refer specifi- single member or panel shall instead
cally to the portions of the record and render a report to the Board on the re-
the provisions of statutes or regula- manded matters. Upon receipt of the
tions that assertedly support each as- report, the Board shall determine
signment of error. Within 25 days fol- whether the views of the parties on the
lowing the service of the appellant’s content of the report should be ob-
brief, the appellee may file and serve a tained in writing and, where necessary,
responsive brief. Within 10 days fol- shall fix by order the time for the sub-
lowing the service of the appellee’s re- mission of those views. A decision of
sponsive brief, the appellant may file the full Board disposing of the pro-
and serve a reply brief. ceeding without a remand or, where
(d) In the absence of a timely appeal, the Board has expressly retained juris-
the initial decision shall become the diction, following completion of the re-
final decision of the Board 30 days fol- mand shall be the final decision of the
lowing its issuance or the date of the Board and subject to judicial review.
67
§ 28.88 4 CFR Ch. I (1–1–11 Edition)
(g) In conducting its examination of was non-compliance. Apart from rem-

the initial decision, the Board may edies available to the parties, the
substitute its own findings of fact and Board may seek judicial enforcement
conclusions of law, but the Board gen- of a decision or order issued pursuant
erally will defer to demeanor-based to a show cause proceeding.
credibility determinations made in the (e) If the parties enter into a settle-
initial decision. In determining wheth- ment agreement that has been re-
er some action other than affirmance viewed and approved by the adminis-
of the initial decision is required, the
trative judge, the Board retains juris-
Board will also consider whether:
diction to enforce the terms of such
(1) New and material evidence is
available that, despite due diligence, settlement agreement.
was not available when the record was (f) Any party to a settlement agree-
closed; ment over which the Board retains ju-
(2) The initial decision is based on an risdiction may petition the Board for
erroneous interpretation of statute or enforcement of the terms of such set-
regulation; tlement agreement.
(3) The initial decision is arbitrary, [58 FR 61992, Nov. 23, 1993, as amended at 68
capricious or an abuse of discretion, or FR 69302, Dec. 12, 2003]
otherwise not consistent with law;
(4) The initial decision is not made § 28.89 Attorney’s fees and costs.
consistent with required procedures
and results in harmful error. Within 20 days after service of a final
(h) Initial decisions that become decision by the Board, or within 20
final without review by the full Board days after the date on which an initial
shall not be binding precedent in any decision becomes final pursuant to
other case. § 28.87(d), the petitioner, if he or she is
the prevailing party, may submit a re-
FR 69302, Dec. 12, 2003] quest for the award of reasonable at-
torney’s fees and costs. GAO may file a
§ 28.88 Board procedures; enforce- response within 20 days after service of
ment. the request. Motions for attorney’s fees
(a) All decisions and orders of the shall be filed in accordance with § 28.21
Board shall be complied with promptly. of these regulations. Rulings on attor-
Whenever a Board decision or order re- ney’s fees and costs shall be consistent
quires a person or party to take any with the standards set forth at 5 U.S.C.
action, the Board may require such 7701(g). The decision of the administra-
person or party to provide the Board tive judge concerning attorney’s fees
and all parties with a compliance re- and costs shall be subject to review and
port. shall become final according to the
(b) When the Board does not receive a provisions of § 28.87.
report of compliance in accordance
with paragraph (a) of this section, the [68 FR 69302, Dec. 12, 2003]
Solicitor shall make inquiries to deter-
mine the status of the compliance re- § 28.90 Board procedures; judicial re-
port and shall report upon the results view.
of the inquiry to the Board. (a) A final decision by the Board
(c) Any person and/or the General under 31 U.S.C. 753(a) (1), (2), (3), (6), (7)
Counsel may petition the Board for en- or (9) may be appealed to the United
forcement of a final decision of the States Court of Appeals for the Federal
Board. The petition shall specifically Circuit within 30 days after the peti-
set forth the reasons why the petitioner receives notice of the Board’s
tioner believes there is non-compli- decision.
ance. (b) The Board may designate the So-
(d) Upon receipt of a non-compliance
licitor, the General Counsel or any
report from its Solicitor or of a peti-
other qualified individual to represent
tion for enforcement of a final deci-
sion, the Board may issue a notice to it in any judicial proceeding involving
any person to show cause why there a Board decision or the interpretation
68
of a Board rule or of the GAO Per- of Chapter 7 of Title 31, U.S.C. or equal
sonnel Act. employment opportunity laws, and
(2) Report to the Congress on the
FR 59106, Nov. 16, 1994] overall progress being made in effec-
tuating the purposes of Subchapters III
and IV of Chapter 7 of Title 31, U.S.C.
Subpart C—Oversight Procedures
§ 28.91 General. Subpart D—Special Procedures;
Pursuant to section 732(f) of Title 31, Equal Employment Oppor-
U.S.C., the Board is authorized to con- tunity (EEO) Cases
duct oversight of GAO employment
regulations, procedures and practices § 28.95 Purpose and scope.
as they relate to laws prohibiting dis- The procedures in this subpart relate
crimination in employment on the to charges filed against any GAO poli-
basis of race, color, religion, national cies or specific actions which are al-
origin, political affiliation, age, sex, leged to involve prohibited discrimina-
marital status, or disability. tion. Prohibited discrimination is de-
fined as any action in violation of:
§ 28.92 Oversight of GAO EEO pro- (a) Section 717 of the Civil Rights Act
gram.
of 1964, as amended (42 U.S.C. 2000e-16),
(a) When requested by the Board in prohibiting discrimination based on
the exercise of its oversight responsi- race, color, religion, sex or national or-
bility, GAO shall provide: igin;
(1) Such plans, procedures and regu- (b) Sections 12 and 15 of the Age Dis-
lations as GAO may develop in order to crimination in Employment Act of 1967
eliminate and prevent employment dis- (29 U.S.C. 631, 633a) prohibiting dis-
crimination on the bases enumerated crimination on account of age;
in § 28.95; (c) Section 6(d) of the Fair Labor
(2) Reports regarding its efforts to Standards Act of 1938 (29 U.S.C. 206(d),
publicize to its employees the proce- prohibiting discrimination in wages on
dures to be followed for receiving ad- the basis of sex;
vice and for filing complaints regard- (d) Title I of the Americans with Dis-
ing the enforcement of laws prohibiting abilities Act of 1990 (42 U.S.C. 12101 et
discrimination in employment; seq.) and sections 501 and 505 of the Re-
(3) Quarterly statistical reports of habilitation Act of 1973 (29 U.S.C. 791,
pre-complaint counseling and of pend- 794a) prohibiting discrimination on the
ing complaints, in a manner prescribed basis of disability; or
by the Board; (e) Any other law prohibiting dis-
(4) An annual report on its equal em- crimination in Federal employment on
ployment opportunity affirmative ac- the basis of race, color, religion, age,
tion program and its Federal Equal sex, national origin or disability. 31
Employment Opportunity Recruitment U.S.C. 732(f)(2).
Program; and
(5) Any other information regarding [58 FR 61992, Nov. 23, 1993, as amended at 68
equal employment opportunity within FR 69302, Dec. 12, 2003]
the GAO that may be required by the
Board, in the time frame and format § 28.96 Applicability of general proce-
dures.
established by the Board after con-
sultation with the Comptroller General Except where a different procedure is
or his or her designee. provided for in this subpart, the proce-
(b) The Board shall review and evalu- dures to be followed by all parties in
ate the regulations, procedures and cases arising under this subpart shall
practices of the GAO, including the in- be the general procedures as prescribed
formation filed with it in accordance in subpart B of this part.
with paragraph (a) above, and shall:
(1) Require the GAO to make any § 28.97 Class actions in EEO cases.
changes the Board determines are (a) Prior to invoking the Board’s pro-
needed due to violations of or incon- cedures in a case alleging prohibited

sistencies with Subchapters III and IV discrimination on behalf of a class of
69
§ 28.98 4 CFR Ch. I (1–1–11 Edition)
GAO employees or applicants for em- ders a new evidentiary hearing, the
ployment, a complaint must first be class representative shall file a peti-
filed with GAO in accordance with GAO tion on behalf of the class and the case
Order 2713.2. shall be adjudicated before an adminis-
(b) An appeal from GAO’s disposition trative judge of this Board pursuant to
of any EEO class complaint may be the procedures applicable to an indi-
submitted to the Board at the fol- vidual EEO complaint processed under
lowing times: § 28.98 of these regulations. For the pur-
(1) Within 20 days of receipt of a GAO pose of determining whether it is ap-
determination rejecting or canceling propriate to treat a petition as a class
the class complaint; action, the administrative judge will
(2) Within 20 days of receipt of a GAO be guided, but not controlled, by the
determination accepting the class ac- applicable provisions of the Federal
tion, but with modifications that are Rules of Civil Procedure.
not satisfactory to the agent of the [58 FR 61992, Nov. 23, 1993, as amended at 68
class; FR 69303, Dec. 12, 2003]
(3) When a period of more than 180
days has elapsed since the formal class § 28.98 Individual charges in EEO
complaint was filed and the GAO has cases.
not issued a final decision; or (a) Except as provided in paragraph
(4) Within 20 days of receipt of a final (c) of this section, a charge alleging
GAO decision resolving the complaint prohibited discrimination (as defined
if that decision, in whole or in part, in § 28.95) shall not be filed with the
has not satisfied the agent for the Board’s General Counsel unless the
class. charging party has first filed a com-
(c) In EEO class actions, employees plaint of discrimination with GAO in
shall not file charges with the Board’s accordance with GAO Order 2713.2.
Office of General Counsel and that Of- (b) A charge relating to GAO’s dis-
fice shall not undertake an inde- position of any individual EEO com-
pendent investigation of a class complaint may be filed with the Board’s
plaint that has been filed with GAO. General Counsel at the following times:
However, the General Counsel may re- (1) Within 30 days from the receipt by
quest permission to intervene with re- the charging party of a GAO decision
gard to any issue in which the General rejecting the complaint in whole or
Counsel finds a significant public inter- part;
est with respect to the preservation of (2) Whenever a period of more than
the merit system. 120 days has elapsed since the com-
(d) An appeal of a GAO disposition of plaint was filed, and the GAO has not
an EEO class complaint shall be de- issued a final decision; or
cided by the Board based upon a review (3) Within 30 days from the receipt by
of the administrative record, including the charging party of a final GAO deci-
any recommended findings and conclusion concerning the complaint of dis-
sions, developed in the GAO class com- crimination.
plaint process. In such cases, the Board (c) Special rules for adverse and per-
will employ the same standards of re- formance based actions. Where an em-
view set forth in § 28.87. ployee is affected by a removal, suspen-
(e) The parties to an EEO class com- sion for more than 14 days, reduction
plaint do not have a right to a de novo in grade or pay, or furlough of not
evidentiary hearing before the Board. more than 30 days (whether due to dis-
However, either the class representa- ciplinary, performance-based or other
tive or GAO may file a motion request- reasons), and the employee wishes to
ing an evidentiary hearing, rather than allege that such action was due in
having the Board decide the case upon whole or part to prohibited discrimina-
review of the administrative record al- tion (as defined in § 28.95), the employee
ready developed by GAO. The Board, in may elect to do either (but not both) of
its discretion, may grant such motion the following:
or, upon its own review of the adminis- (1) File a charge directly with the
trative record, may direct that a new Board’s General Counsel within 30 days
hearing be conducted. If the Board or- of the effective date of the personnel
70
action and raise the issue of discrimi- § 28.99 Petitions to the Board in EEO
nation in the course of the proceedings cases.
before the Board; or (a) The provisions of §§ 28.18 through
(2) File a complaint of discrimination 28.90, inclusive, shall govern the
with the GAO pursuant to GAO Order Board’s procedures in processing peti-
2713.2. If the employee elects to file a tions filed under this subpart.
complaint of discrimination with GAO, (b) Remedial action provided in
he or she may still seek Board review Board orders in these cases may in-
of the matter by filing a charge with clude:
the Board’s General Counsel at the (1) Provision for Agency offers of em-
times authorized in paragraph (b) of ployment, re-employment or pro-
this section. Where a complaint of dis- motion, with or without back pay,
crimination filed with GAO relates to when the Board decides such action is
non-EEO issues that are within the required to make whole the individual
Board’s jurisdiction in addition to found to have been discriminated
EEO-related allegations, the subse- against.
quent charge filed with the Board’s
(2) Notification to all GAO employees
General Counsel under paragraph (b) of
of the action ordered to be taken to ex-
this section shall be considered a time-
punge the effect of the discrimination;
ly appeal of the non-EEO issues. An
(3) Correction of GAO personnel
employee will be deemed to have elect-
records, as necessary, to reflect the
ed the EEO complaint process if the
purpose of the Board order; and,
employee files a timely written com-
(4) Any other action the Board be-
plaint of discrimination with GAO be-
lieves proper to correct the effect of
fore filing a charge with the Board’s
the discrimination found to have oc-
General Counsel. Consultation with an
curred.
EEO counselor, without filing a writ-
ten complaint of discrimination, does [58 FR 61992, Nov. 23, 1993, as amended at 68
not constitute an election of the EEO FR 69303, Dec. 12, 2003]
complaint process.
(d) Special rules for WRA based actions. § 28.100 [Reserved]
An individual alleging discrimination § 28.101 Termination of Board pro-
issues in connection with a WRA-based ceedings when suit is filed in Fed-
separation may follow the procedures eral District Court.
outlined above in paragraph (c) of this
Any proceeding before the Board
section for adverse and performance
shall be terminated when an employee
based actions, or may choose instead a
or applicant who is alleging violation
third option. In accordance with the
of Title VII of the Civil Rights Act of
provisions of § 28.13, such an individual
1964, as amended, 42 U.S.C. 2000e–16,
may challenge that action by filing di-
Title I of the Americans with Disabil-
rectly with the PAB, thus bypassing
ities Act of 1990, 42 U.S.C. 12101 et seq.,
both the Office of Opportunity and In-
the Age Discrimination in Employment
clusiveness and the Board’s Office of
Act, 29 U.S.C. 633a, or the Rehabilita-
General Counsel.
tion Act, 29 U.S.C. 791, files suit in Fed-
(e)(1) The charging party shall file
eral District Court on the same cause
the charge with the Board’s Office of
of action pending before the Personnel
General Counsel in accordance with
Appeals Board.
§ 28.11. That Office shall investigate the
charge in accordance with § 28.12. [68 FR 69303, Dec. 12, 2003]
(2) A charging party challenging a
RIF action by filing directly with the Subpart E—Special Procedures;
PAB shall follow the procedures pre- Representation Proceedings
scribed in § 28.13 and § 28.18.
§ 28.110 Purpose.
FR 59106, Nov. 16, 1994; 61 FR 36811, July 15, The procedures in this subpart relate
1996; 68 FR 69303, Dec. 12, 2003] to the Board’s duty under 31 U.S.C.
71
§ 28.111 4 CFR Ch. I (1–1–11 Edition)
753(a) (4) and (5) to determine appro- (5) Any person seeking clarification
priate units of GAO employees for col- of, or an amendment to, a certification
lective bargaining, to conduct elec- then in effect or any other matter re-
tions in order to determine whether lating to representation.
the employees in any such units wish (b) Notwithstanding the provisions of
to select a labor organization to rep- paragraph (a) of this section, no peti-
resent them in collective bargaining, tion may be filed which seeks represen-
and, thereafter, to certify labor organi- tation rights for employees in a unit—
zations so selected as the designated (1) Where an election has been held
exclusive bargaining representative. within the previous 12 calendar months
They are referred to in these regula- and in such election a majority of the
tions as ‘‘representation proceedings’’. employees voting chose a labor organi-
zation for certification as the unit’s ex-
§ 28.111 Scope. clusive representative, or
The Board shall consider, decide and (2) Where an existing collective bar-
order corrective action (as appropriate) gaining agreement having a term of
in cases arising from the determination three years or less is in effect, unless
of appropriate units of employment for the petition for exclusive recognition
collective bargaining and cases arising is filed not more than 105 days and not
from elections and certifications of col- less than 60 days before the expiration
lective bargaining representatives. of the collective bargaining agreement,
Board decisions in these matters will or
be made with due regard for relevant (3) Where an existing collective bar-
provisions of GAO Orders and with the gaining agreement having a term of
objective of insuring that the GAO more than three years is in effect, un-
labor relations program is consistent less the petition for recognition is filed
with Chapter 71 of Title 5, United not more than 105 days and not less
States Code, which prescribes the than 60 days before the third anniver-
standards for the labor relations pro- sary or any subsequent anniversary of
gram in the executive branch. the collective bargaining agreement.
§ 28.112 Who may file petitions.
FR 69303, Dec. 12, 2003]
(a) Representation petitions may be
filed by: § 28.113 Contents of representation pe-
(1) A labor organization which wishes titions.
to be designated as the exclusive rep- (a) The contents of representation pe-
resentative for collective bargaining by titions filed under § 28.112(a)(1) (by a
the GAO employees in an appropriate labor organization seeking to be des-
unit, or by a labor organization which ignated as or replace an exclusive bar-
desires to replace another currently gaining representative) shall consist of:
having that status; (1) A detailed identification of the
(2) An employee or a group of em- unit of employees to which the petition
ployees (or an individual on his, her or applies, and their geographical loca-
their behalf) desiring a new election to tion within the GAO, the classifica-
determine whether a labor organizations of employees to be included and
tion has ceased to represent a majority excluded, and the number of employees
of employees in a unit; involved;
(3) The GAO if it has a good faith rea- (2) Names, addresses and officers of
son to doubt that a majority of em- any other labor organizations known
ployees in the bargaining unit wish to by the petitioner to be interested in
be represented by the labor organiza- representing employees covered by the
tion which is currently the exclusive petition, including a labor organization
representative of those employees; which is party to a current collective
(4) The GAO or a labor organization bargaining agreement covering any
currently recognized as an exclusive employees in the unit;
representative desiring the Board to (3) Name, address, affiliation, if any,
clarify an earlier unit determination or and telephone number of the peti-

certification; tioning organization;
72
(4) A copy of the constitution and by- certification) shall include the infor-
laws of the organization, a roster of the mation required under paragraph (a) of
organization’s officers and representa- this section, with the exception of the
tives, and a statement of the organiza- information required by paragraphs
tion’s objectives, together with a state- (a)(4) and (a)(7) of this section. Also, in-
ment that these documents have also stead of the information required in
been supplied to the GAO; paragraph (a)(1) of this section, the pe-
(5) A declaration by the signer of the tition shall identify the existing unit
petition, under penalties of the Crimi- and the date the organization was rec-
nal Code (18 U.S.C. 1101), that the peti- ognized by the GAO or certified as the
tion’s contents are true and correct, to exclusive representative, and shall ex-
the best of his or her knowledge and plain the changes desired in the unit
belief; and the reasons therefor.
(6) The signature of the representa- (e) Petitions under § 28.112(a)(5) (by
tive of the petitioner, including title any person seeking clarification or
and telephone number; and amendment of a certification, or rais-
(7) Membership cards, dues records, ing any other representation matter)
or signed statements by employees in- shall be filed on forms to be supplied by
dicating their desire to support the pe- the Board upon request.
tition of the labor organization, or [58 FR 61992, Nov. 23, 1993, as amended at 68
similar evidence acceptable to the FR 69303, Dec. 12, 2003]
Board, showing that at least 30 percent
of the employees in the proposed unit § 28.114 Pre-investigation proceedings.
support the representation petition. (a) Upon the filing of a valid petition,
(b) The contents of petitions filed the General Counsel may request GAO
under § 28.112(a)(2) (by an employee or to notify employees as to the existence
group of employees seeking an election of the petition by posting a notice for
to determine if a labor organization at least 10 days in locations appro-
still represents a majority of employ- priately selected to reach all employ-
ees in a unit) shall conform to those ees in the unit covered by the petition.
provided for in paragraph (a) of this The notice shall include a request that
section, except that the information the Board’s General Counsel be notified
required by paragraphs (a)(4) and (a)(7) of the existence of any other interested
of this section need not be supplied. parties.
Additionally, a petition under (b) GAO shall supply the General
§ 28.112(a)(2) shall include evidence sat- Counsel with any information in its
isfactory to the Board that at least 30 possession concerning other poten-
percent of the employees in the unit tially interested labor organizations,
support the petition to determine copies of relevant correspondence, and
whether the employees wish to con- copies of existing or recently expired
tinue to be represented by the labor or- agreements covering any employees in
ganization currently having bargaining the unit. The GAO shall also provide a
rights. list of employees it believes should be
(c) The contents of petitions filed included in the unit together with
under § 28.112(a)(3) shall conform to their classifications and the names and
those provided in petitions under para- classifications of those employees it
graph (a) of this section except that proposes to exclude from the unit.
the information required by paragraphs (c) All interested parties shall meet
(a)(4) and (a)(7) of this section need not as soon as possible after the expiration
be supplied. Additionally, such a peti- of the 10-day posting period and shall
tion shall include a detailed statement attempt to resolve any issues in con-
giving the objective considerations troversy.
which support the GAO’s good faith (d) A labor organization may become
reason for doubting the labor organiza- an intervenor in any representation
tion’s continued status as the exclusive proceeding by submitting to the Gen-
representative. eral Counsel, within the 10-day period,
(d) The contents of petitions filed evidence that it represents at least 10
under § 28.112(a)(4) (by GAO or a labor percent of the employees in the pro-
organization seeking clarification of a posed unit or that it is the exclusive
73
§ 28.115 4 CFR Ch. I (1–1–11 Edition)
representative of the employees in- (f) Final Decisions and Orders issued
volved. Denial of a request to intervene by the Board based on hearings held in
may be appealed to the Board. Such an accordance with paragraphs (d) and (e)
appeal must be filed within 10 days of of this section shall not be considered
service of the General Counsel’s deter- final decisions subject to appeal before
mination. the Circuit Courts of Appeal.
§ 28.115 Processing petitions. § 28.116 Conduct of elections.
(a) Upon the expiration of the 10-day (a) The Board shall supervise any
posting period, and after the General election it orders to be conducted, but
Counsel considers an appropriate pe- may delegate ministerial functions re-
riod has elapsed for consultation lating to an election to any qualified
among the parties to resolve or iden- independent organization; to members
tify issues, the General Counsel shall of the Board’s full-time staff; or to
prepare a report to the Board which temporary employees hired for this
may recommend: purpose.
(1) Approval of any agreement en- (b) Appropriate notices setting forth
tered into by the parties during their details of the election shall be posted
consultations including an agreement by GAO as directed by the Board.
on the appropriate units, on the with- (c) The Board shall, through its
drawal of the petition, or on a joint re- agents chosen to conduct the election:
quest to conduct an election to deter- (1) Provide the opportunity for all
mine which labor organization, if any, qualified voters to indicate their
the employees select to be their exclu- choices in secrecy;
sive bargaining representative; (2) Offer qualified voters the oppor-
(2) Dismissal of the petition as being tunity to vote for any labor organiza-
without merit; or tion on the ballot, or to reject all labor
(3) Issuance of a notice of hearing for organizations;
the purpose of disposing of the remain- (3) Permit all parties to observe all
ing issues raised in the petition. aspects of the election procedure other
(b) The General Counsel’s report than any which would interfere with
shall be supplied to all interested par- the secrecy of the ballot;
ties, and, unless all parties agree to a (4) Provide for all parties to chal-
shorter period, they shall have 15 days lenge the eligibility of any voters, and
during which to file any response with to impound the ballots of such voters,
the Board. subject to later determination of eligi-
(c) The Board, as expeditiously as bility should the number of challenges
feasible after the expiration of the pe- potentially affect the results;
riod specified in paragraph (b) of this (5) Certify to all parties the results of
section, but no later than 30 days the election.
thereafter, shall either approve the re- (d) Upon receiving a report of the re-
port and order appropriate steps to sults of the election, the Board shall:
carry out its recommendations, or re- (1) If necessary rule on the challenges
mand it to the General Counsel with and adjust the results accordingly;
further instructions. (2) Formally announce the results
(d) Where a hearing is ordered, an ad- and, where appropriate, designate a
ministrative judge shall be designated labor organization as the exclusive col-
by the Board. The report of the admin- lective bargaining agent, or withdraw
istrative judge shall include Findings such a designation;
of Fact and Recommendations. (3) Order a runoff or an additional
(e) After receiving the report from election, if the Board deems it appro-
the administrative judge, and after priate, where the results of the original
providing the parties with an oppor- election are inconclusive because no
tunity for comment, the Board shall choice on the ballot has secured a ma-
issue a Decision and Order determining jority of the valid votes cast. Not more
the appropriate unit, directing an elec- than one additional and one runoff
tion, dismissing the petition or making election may be held.
some other appropriate disposition of (i) Runoff election. The Board may
the matter. order a runoff election where one or
74
more of the labor organizations on the subpart B of this part for the filing of
ballot has received the vote of at least charges, investigation by the General
30 percent of the employees eligible to Counsel, and the Board’s disposition,
vote, but none has gained a majority of except as set forth in paragraphs (c)
the votes cast. The runoff election will and (d) of this section.
be between the two choices receiving (c) Except as provided in paragraph
the largest and the second largest num- (d) of this section, no petition may be
ber of votes in the original election. filed based on any alleged unfair labor
(ii) Additional election. The Board practice which occurred more than 6
may order an additional election where months before the filing of an unfair
there is a tie vote between all of the labor practice charge with the charged
choices on the ballot or where a runoff party, as provided in paragraph 15e of
election is not feasible because there is GAO Order 2711.1, or more than 9
a tie between the choices receiving the months before the filing of a charge
second most votes in the original elec- with the Office of General Counsel.
tion. The additional election will in- (d) If the Board determines that the
clude all the choices that appeared on charging party was prevented from fil-
the original ballot. ing the charge during the 6-month pe-
riod referred to in paragraph (c) of this
Subpart F—Special Procedures; section by reason of:
Unfair Labor Practices (1) Any failure of the charged party
to perform a duty owed to the charging
§ 28.120 Authority of the Board. party; or
(2) Any concealment which prevented
(a) The procedures in this subpart re-
discovery of the alleged unfair labor
late in part to the Board’s function,
practice during the 6-month period; the
under 31 U.S.C. 753(a)(6), to ‘‘consider
charge will be considered timely filed,
and order corrective or disciplinary ac-
provided it was filed with the charged
tion in a case arising from * * * a mat-
ter appealable to the Board under the party during the 6-month period begin-
labor-management relations program ning on the day of the discovery of the
under (31 U.S.C. 732(e)(2)) including a alleged unfair labor practice by the
labor practice prohibited under (31 charging party.
U.S.C. 732(e)(1)).’’ [58 FR 61992, Nov. 23, 1993, as amended at 68
(b) The system so established by the FR 69303, Dec. 12, 2003]
Comptroller General is required to pro-
vide that each employee of the GAO § 28.122 Negotiability issues.
has the right to form, join or assist, or Where the GAO and an exclusive bar-
not form, join or assist an employee or- gaining representative disagree on
ganization, freely and without penalty whether a matter is subject to negotia-
or reprisal, and for a labor-manage- tion as part of the requirement to bar-
ment relations program consistent gain in good faith, the matter shall be
with Chapter 71 of Title 5, U.S.C. (31 appealable to the Board under the fol-
U.S.C. 732(e)). lowing procedures:
(a) When, in connection with negotia-
§ 28.121 Unfair labor practices; Board tions, a proposal is declared nonnego-
procedures. tiable, the party submitting the pro-
(a) Unfair labor practices are defined posal shall, prior to the close of nego-
at GAO Order 2711.1. An allegation that tiations, submit to the other party a
a provision of GAO Order 2711.1 is in- Request for Formal Negotiability De-
consistent with Chapter 71 of Title 5, termination reciting the proposal in
United States Code, and thereby denies question. The party declaring the pro-
to an employee or labor organization posal nonnegotiable shall, within ten
rights comparable to those granted by (10) days, deliver to the other party a
Chapter 71 of Title 5, United States Formal Negotiability Determination
Code, may also be raised under the un- stating the basis for the Determina-
fair labor practice procedure. tion.
(b) An allegation that unfair labor (b) A Formal Negotiability Deter-
practices have been committed shall be mination may be appealed to the Board
subject to the procedures appearing in within 20 days of its service by filing a
75
§ 28.123 4 CFR Ch. I (1–1–11 Edition)
Petition for Review with the Board. A to take such actions as it considers ap-
complete statement of argument from propriate to carry out the policies of
the petitioner should accompany the this section.
Petition for Review. (d) This chapter does not authorize
(c) The Board shall serve the Re- participation in the management of a
spondent with a copy of the Petition labor organization or acting as a rep-
for Review and accompanying argu- resentative of a labor organization by a
ment. Respondent shall reply to the management official, a supervisor, or a
Petition for Review within 20 days of confidential employee, or by any em-
its service upon respondent. ployee if the participation or activity
(d) One or more members of the would result in a conflict or apparent
Board shall review the arguments, hold conflict of interest or would otherwise
a hearing if the administrative judge be incompatible with law or with the
deems it necessary, and issue a deci- official duties of the employee.
sion.
(e) In the case of any labor organiza-
(e) The decision shall become final in
tion which by omission or commission
accordance with § 28.87.
has willfully and intentionally called
[58 FR 61992, Nov. 23, 1993, as amended at 68 or participated in a strike, work stop-
FR 69303, Dec. 12, 2003] page or slowdown, or picketed in a
manner which interfered with the oper-
§ 28.123 Standards of conduct for labor
organizations. ations of a government agency, or has
condoned such activity, the Board
(a) The GAO shall only accord rec- shall, upon an appropriate finding it
ognition to labor organizations that has made of such a violation—
are free from corrupt influences and
(1) Revoke the recognition status of
from influences opposed to basic demo-
the labor organization; or
cratic principles. An organization is
(2) Take any other appropriate dis-
not required to prove it is free from
such influence if it is subject to gov- ciplinary action.
erning requirements calling for the (f) The General Counsel may charge a
maintenance of: labor organization with violations of
(1) Democratic procedures; this section. The Board shall conduct
(2) Freedom from totalitarian influ- proceedings with regard to such charge
ence; and may require a labor organization
(3) Independence on the part of its to take such actions as it deems nec-
agents and officers from any business essary to carry out the policies of this
or financial interests which represent section.
conflicts of interest or potential con- [58 FR 61992, Nov. 23, 1993, as amended at 68
flicts of interest; and FR 69303, Dec. 12, 2003]
(4) Fiscal integrity.
(b) A labor organization which has or § 28.124 Review of arbitration awards.
seeks recognition as a representative of
employees under this chapter shall file (a) Filing an exception. (1) Either
financial and other reports with the party to arbitration, conducted pursu-
Board and comply with trusteeship and ant to a grievance procedure under a
election standards. collective bargaining agreement, may
(c) A labor organization which has or file with the Board an exception to the
seeks recognition under these Rules arbitrator’s award rendered pursuant
shall adhere to principles enunciated in to the arbitration.
the Regulations issued by the Assist- (2) The time limit for filing an excep-
ant Secretary of Labor for Employ- tion to an arbitration award is 30 days
ment Standards regarding standards of from the service of the award on the
conduct for labor organizations in the filing party.
public sector. Complaints of violations (3) An opposition to the exception
of this section shall be filed with the may be filed by a party within 30 days
Board. In any matter arising under this after the service of the exception.
section, the Board may require a labor (4) A copy of the exception and any
organization to cease and desist from opposition shall be served on the other
violations of this section and require it party.
76
(b) Content of exception. An exception gesting that a prohibited personnel

must be a dated, self-contained docu- practice may have occurred, exists or
ment which sets forth in full: is to be taken, the General Counsel
(1) A statement of the grounds on shall investigate the matter to the ex-
which review is requested; tent necessary to determine whether
(2) Evidence or rulings bearing on the there are reasonable grounds to believe
issues before the Board; that a prohibited personnel practice
(3) Arguments in support of the stat- has occurred, exists or is to be taken.
ed grounds, together with specific ref-
(b) If the General Counsel terminates
erence to the pertinent documents and
citations of authorities; any investigation under this section
(4) A legible copy of the award of the which is not also the subject of a
arbitrator and legible copies of other charge, the General Counsel shall pre-
pertinent documents; and pare and transmit to any person on
(5) The name and address of the arbi- whose allegation the investigation was
trator. initiated, a written statement noti-
(c) Grounds for review. (1) The Board fying the person of the termination of
will review an arbitrator’s award to the investigation and the reasons
which an exception has been filed to therefore.
determine if the award is deficient— (c) If the General Counsel determines
(i) Because it is contrary to any law, that there are reasonable grounds to
rule or regulation; or believe that a prohibited personnel
(ii) On other grounds similar to those practice has occurred, exists or is to be
applied by Federal courts in private taken which requires corrective action
sector labor-management relations. and which is not also the subject of a
(2) The Board will not consider an ex-
charge, the General Counsel shall re-
ception where:
(i) The award relates to an action port the determination together with
based on unacceptable performance any findings or recommendations to
covered under 5 U.S.C. 4303; the GAO.
(ii) The award relates to a removal, (d) If, after a reasonable period, GAO
suspension for more than 14 days, re- has not taken the corrective action
duction in grade, reduction in pay, or recommended, the Board’s Office of
furlough of 30 days or less covered General Counsel may file a petition
under 5 U.S.C. 7512; or with the Board. Such petition shall be
(iii) the exception is based on a GAO processed in accordance with §§ 28.19
rule which was not introduced into the through 28.25.
record submitted to the arbitrator.
(d) Board decision. The Board shall [58 FR 61992, Nov. 23, 1993, as amended at 68
FR 69303, Dec. 12, 2003]
issue its decision and order taking such
action and making such recommenda- § 28.132 Disciplinary proceedings.
tions concerning the award as it con-
siders necessary, consistent with appli- (a) If the General Counsel determines
cable laws, rules, or regulations. after any investigation under 31 U.S.C.
752(b) that disciplinary action should
Subpart G—Corrective Action, be initiated against an employee, the
Disciplinary and Stay Proceedings General Counsel shall prepare a writ-
ten complaint against the employee
§ 28.130 General authority. containing his or her determination,
The procedures in this subpart relate together with a statement of the sup-
to the Board’s functions ‘‘to consider, porting facts, and present the com-
decide and order corrective or discipli- plaint and the statement to the em-
nary action (as appropriate) in cases ployee and the Board in accordance
arising’’ from any area within the with paragraphs (b) and (c) of this sec-
Board’s jurisdiction. tion.
(b) In the case of an employee in a
§ 28.131 Corrective action proceedings. confidential, policy making, policy-de-
(a) When information comes to the termining, or policy-advocating posi-

attention of the General Counsel sug- tion appointed by the President, by and
77
§ 28.133 4 CFR Ch. I (1–1–11 Edition)
with the advice and consent of the Sen- filing, the request shall be granted by
ate, the complaint and statement re- the Board member designated by the
ferred to in paragraph (a) of this sec- Board Chair to entertain the request
tion, with any response by the em- unless that Board member determines
ployee, shall be presented to the Con- that the request either:
gress for appropriate action in lieu of (1) Fails to satisfy the requirements
being presented under paragraph (d) of of this paragraph or
this section. (2) On its face, conclusively estab-
(c) Any employee against whom a lishes that the proposed personnel ac-
complaint has been presented to the tion did not arise out of an alleged pro-
Board under paragraph (a) of this sec- hibited personnel practice as specified
tion is entitled to: by the General Counsel.
(1) A reasonable time to answer oral- (b) The Board’s General Counsel may
ly and in writing and to furnish affida- request the issuance of either:
vits and other documentary evidence in (1) Further temporary stays for the
support of the answer; purpose of allowing additional time to
(2) Be represented by an attorney or pursue its investigation or
other representative; (2) A permanent stay for the purpose
(3) A hearing before the Board or a of staying the proposed personnel ac-
member designated by the Board; tion until a final decision is rendered.
(4) Have a transcript kept of any (c) Requests for stays under para-
hearing under paragraph (c)(3) of this graph (b) of this section shall be re-
section; and ceived by both the Board and the GAO
(5) A written decision and reasons no less than 10 days before the expira-
therefor at the earliest practicable tion of any stay then in effect. Any re-
date, including a copy of a final deci- sponse from GAO to the request shall
sion ordering disciplinary action. be received by both the Board and the
(d) A final order of the Board may Board’s Office of General Counsel no
order disciplinary action consisting of less than three days before the expira-
removal, reduction in grade, debarment tion of any stay then in effect. Any re-
from GAO employment for a period not quest for stay under this paragraph
to exceed 5 years, suspension, rep- shall be decided by the Board member
rimand, or an assessment of civil pen- who issued the prior stay under para-
alty not to exceed $1,000. graph (a) of this section, unless the
(e) An employee subject to a final de- Board Chair determines that it should
cision ordering disciplinary action be decided by the Board en banc. The
under this section may obtain judicial Board member, or Board en banc, may
review of the order in the U.S. Court of require further briefing, oral argument,
Appeals for the Federal Circuit in ac- submission of affidavits or other docu-
cordance with 31 U.S.C. 755. mentary evidence, or may conduct an
[58 FR 61992, Nov. 23, 1993, as amended at 68 evidentiary hearing before rendering a
FR 69304, Dec. 12, 2003] decision. Any stay then in effect may
be extended, sua sponte, for a period
§ 28.133 Stay proceedings. not to exceed 30 days to enable the
(a) Prior to the effective date of any Board member, or Board en banc, a rea-
proposed personnel action, the Board’s sonable opportunity to render a deci-
General Counsel may request, ex parte, sion.
the issuance of an initial stay of the (d) A temporary stay under para-
proposed personnel action for a period graph (b)(1) of this section may be
not to exceed 30 days if the General issued if the Board member, or Board
Counsel believes that the proposed per- en banc, determines that under all of
sonnel action arises out of a prohibited the circumstances the interests of jus-
personnel practice. The request shall tice would be served by providing more
be in writing and shall specify the na- time for the Board’s Office of General
ture of the action to be stayed and the Counsel to pursue the investigation.
basis for the General Counsel’s belief. However, the duration of any single
The Board’s Office of General Counsel temporary stay shall not exceed the
shall serve a copy of the request on the amount of time reasonably necessary
GAO. Within three business days of its to acquire sufficient information to
78
support a request for a permanent stay § 28.141 Performance based actions.

in the exercise of a high degree of dili-
A career appointee removed from
gence and, in no event, shall any single
SES to a GAO position outside the SES
temporary stay exceed 60 days except
for less than fully successful executive
as provided under paragraph (c) of this
performance shall, upon notice of such
section for the purpose of allowing
removal, be entitled, upon request, to
time to render a decision.
an informal hearing before a member
(e) In determining whether a perma- of the Board designated by the Chair of
nent stay under paragraph (b)(2) of this the Board.
section should be issued, the Board (a) At the informal hearing, the ca-
member, or Board en banc, shall: reer appointee and/or a representative
(1) Assess the evidence adduced by and the agency may appear and present
each side as to whether the proposed documentary evidence and argument.
personnel action arises out of an al- (b) The Board member will determine
leged prohibited personnel practice as which, if any, witnesses will be allowed
specified by the Board’s General Coun- to testify. As a general rule, no cross-
sel; examination of witnesses will be al-
(2) Assess the nature and gravity of lowed. The Board member will have
any harm that could inure to each side discretion to allow cross-examination
if the request for permanent stay is ei- of witnesses in exceptional cir-
ther granted or denied; and cumstances.
(3) Balance the assessments con- (c) The informal hearing shall not
ducted under paragraphs (e)(1) and (2) give the career appointee the right to
of this section. initiate an action with the Board under
(f) Any order issued by a member of another provision of these rules, nor
the Board granting or denying, in need the removal action be delayed as
whole or in part, a stay request under a result of the granting of such hear-
paragraph (b) shall be subject to review ing.
by the Board en banc on the filing and
service of a notice of appeal, accom-
panied by a supporting brief, within 10
Subpart I—Ex Parte
days of the service of that order. Re- Communications
sponsive briefs shall be filed and served § 28.145 Policy.
within 10 days of service of the appeal.
(g) A motion to vacate a stay order It is the policy of the Board to regu-
may be filed at any time. A stay order late strictly ex parte communications
issued by the Board en banc may not be between members of the Board and
vacated by a single Board member. their decision-making personnel and
any interested party to a proceeding
[58 FR 61992, Nov. 23, 1993, as amended at 68 before the Board.
FR 69304, Dec. 12, 2003]
§ 28.146 Explanation and definitions.
Subpart H—Appeals by Members (a) Ex parte communications are oral
of the Senior Executive Service or written communications between
decision-making personnel of the
§ 28.140 Personnel actions involving Board and an interested party to a pro-
SES members. ceeding without providing the other
Members of the GAO Senior Execu- parties to the proceeding a chance to
tive Service (SES) may appeal adverse participate. The only ex parte commu-
actions relating to misconduct, malfea- nications that are prohibited are those
sance or similar action to the Board in that involve the merits of the case or
accordance with Subpart B of this part. those that violate other rules requiring
Members of the GAO SES who allege submissions to be in writing. Accord-
that they have been subjected to a per- ingly, interested parties may make in-
sonnel action that constitutes a pro- quiries about such matters as the sta-
hibited personnel practice or prohib- tus of a case, when it will be heard, and
ited discrimination may appeal to the the method for transmitting evidence
Board in accordance with subpart B or to the Board. Such communications

subpart D of this part respectively. should be directed to the Clerk of the
79
§ 28.147 4 CFR Ch. I (1–1–11 Edition)
Board. Parties may not inquire about should not be dismissed, denied or oth-
such matters as what defense they erwise adversely affected.
should use or whether their evidence is (b) The Board, a panel of Board mem-
adequate, make a submission orally bers, a Board member or an adminis-
which is required to be in writing, or trative judge, as necessary, may invoke
otherwise inquire as to the merits of a such sanctions against any offending
pending case. party as may be appropriate under the
(b) In this subpart— circumstances.
(1) ‘‘Interested party’’ includes:
(i) Any party, including the General Subpart J—Statement of Policy or
Counsel of the Board, or representative Guidance
of a party involved in a proceeding be-
fore the Board; § 28.155 Statement of policy or guid-
(ii) Any person desiring to intervene ance.
in any proceeding before the Board; or Upon petition by any person, or on
(iii) Any other person who might be its own motion, the Board may issue
affected by the outcome of a pro- statements of policy or guidance. In de-
ceeding before the Board. termining whether to issue such a
(2) ‘‘Decision-making personnel’’ statement, the criteria to be consid-
means the Board, a panel of Board ered by the Board will include, but not
members, a Board member, an adminis- be limited to, the following:
trative judge, and/or an employee of (a) Whether the question presented
the Board, who reasonably can be ex- can more appropriately be resolved by
pected to participate in the decision- other means;
making process of the Board. (b) Where other means are available,
[58 FR 61992, Nov. 23, 1993, as amended at 68 whether a Board statement would pre-
FR 69304, Dec. 12, 2003] vent the proliferation of cases;
(c) Whether the resolution of the
§ 28.147 Prohibited communications. question presented would have general
Ex parte communications concerning applicability;
the merits of any matter before the (d) Whether the question currently
Board for adjudication, or which would confronts the parties as part of their
otherwise violate rules requiring writ- employee-management relationship;
ten submissions, are prohibited from (e) Whether the question is presented
the time the interested party involved jointly by the parties involved; and
has knowledge that the matter may be (f) Whether the issuance by the Board
considered by the Board until the of a statement of policy or guidance
Board has rendered a final decision on would promote the purposes of the
the case. General Accounting Office Personnel
Act.
§ 28.148 Reporting of communications.
Any communication made in viola- Subpart K—Access to Records
tion of this section shall be made part
of the record in the proceeding and an SOURCE: 68 FR 69304, Dec. 12, 2003, unless
opportunity for rebuttal allowed. If the otherwise noted.
communication was oral, a memo-
randum stating the substance of the § 28.160 Request for records.
discussion shall be placed in the record. (a) Individuals may request access to
records pertaining to them that are
§ 28.149 Sanctions. maintained as described in 4 CFR part
The following sanctions shall be 83, by addressing an inquiry to the PAB
available for violations of this Subpart: General Counsel either by mail or by
(a) The Board, a panel of Board mem- appearing in person at the Personnel
bers, a Board member or an adminis- Appeals Board Office of General Coun-
trative judge, as necessary, may, in the sel, 820 First Street, NE., Suite 580,
interest of justice, require the offend- Washington, DC 20002, during business
ing party to show cause why his or her hours on a regular business day. Re-
claim, interest, motion or petition quests in writing should be clearly and
80
prominently marked ‘‘Privacy Act Re- eral Counsel shall give the requester
quest.’’ Requests for copies of records the following information:
shall be subject to duplication fees set (1) The General Counsel’s name and
forth in 4 CFR 83.17. business mailing address;
(b) Individuals making a request in (2) The date of the denial;
person shall be required to present sat- (3) The reasons for the denial, includ-
isfactory proof of identity, preferably a ing citation of appropriate authorities;
document bearing the individual’s pho- and
tograph. Requests by mail or sub- (4) The individual’s right to appeal
mitted other than in person should the denial as set forth in paragraphs (b)
contain sufficient information to en- and (c) of this section.
able the General Counsel to determine (b) Any individual whose request for
with reasonable certainty that the re- access to records of the PAB General
quester and the subject of the record Counsel has been denied in whole or
are one and the same. To assist in this part by the General Counsel may, with-
process, individuals should submit in 30 days of receipt of the denial, chal-
their names and addresses, dates and lenge that decision by filing a written
places of birth, social security number, request for review of the decision with
and any other known identifying infor- the Personnel Appeals Board, 820 First
mation such as an agency file number Street, NE., Suite 560, Washington, DC
or identification number and a descrip- 20002.
tion of the circumstances under which (c) The appeal shall describe:
the records were compiled. (1) The initial request made by the
(c) Exemptions from disclosure. The individual for access to records;
Personnel Appeals Board General (2) The General Counsel’s decision de-
Counsel and the Personnel Appeals nying the request; and
Board, in deciding what records are ex- (3) The reasons why that decision
empt from disclosure, will follow the should be modified by the Board.
policies set forth in 4 CFR part 83. (d) The Board, en banc, may in its
discretion render a decision based on
§ 28.161 Denial of access to informa- the record, may request oral argument,
tion—Appeals. or may conduct an evidentiary hearing.
(a) If a request for access to informa-
tion under § 28.160 is denied, the Gen- PART 29 [RESERVED]
SUBCHAPTERS C–D [RESERVED]

81
SUBCHAPTER E—STANDARDIZED FISCAL PROCEDURES
PART 75—CERTIFICATES AND AP- certificates on such other forms need

PROVALS OF BASIC VOUCHERS no longer be executed. However, the
AND INVOICES elimination of this requirement does
not dispense with the necessity for the
specific certification of facts required
AUTHORITY: 31 U.S.C. 711 and 3511. by certain contracts.
§ 75.1 Contractors’ and vendors’ cer- (b) The omission of the certificate
tificates. from bills or invoices submitted for
payment to Government agencies does
(a) The Government Accountability
not in any manner lessen the responsi-
Office no longer requires that a certifi-
bility of contractors and vendors in
cate as to correctness and nonpayment
be executed on the bills and invoices of complying with all statutory require-
contractors and vendors, with the ex- ments applicable to transactions with
ception that carriers, or other corpora- the Government, nor will it be con-
tions, agencies, or persons furnishing strued as mitigating their liability for
transportation and accessorial services asserting false, fictitious, or fraudulent
to the Government must continue to claims against the United States, pen-
execute the certificates as provided in alties for which are set forth in 18
chapter 101 of 41 CFR part 41. Pending U.S.C. 287.
the eventual elimination of the con- [22 FR 10906, Dec. 28, 1957, as amended at 47
tractors’ and vendors’ certificates from FR 50843, Nov. 10, 1982; 47 FR 56980, Dec. 22,
all other standard voucher forms, the 1982]
82
SUBCHAPTER F—RECORDS
PART 81—PUBLIC AVAILABILITY OF § 81.3 Definitions.

GOVERNMENT ACCOUNTABILITY As used in this part:
OFFICE RECORDS (a) Identifiable means a reasonably
specific description of a particular
Sec. record sought, such as the date of the
81.1 Purpose and scope of part. record, subject matter, agency or per-
81.2 Administration. son involved, etc., which will permit lo-
81.3 Definitions. cation or retrieval of the record.
81.4 Requests for identifiable records.
(b) Records includes all books, papers,
81.5 Records originating outside GAO,
records of interviews, or records involv- manuals, maps, photographs, reports,
ing work in progress. and other documentary materials, re-
81.6 Records which may be exempt from dis- gardless of physical form or character-
closure. istics, including electronically created
81.7 Fees and charges. or maintained materials, under the
81.8 Public reading facility. control of GAO in pursuance of law or
AUTHORITY: 31 U.S.C. 711. in connection with the transaction of
public business. As used in this part,
SOURCE: 68 FR 33832, June 6, 2003, unless
the term ‘‘records’’ is limited to an ex-
otherwise noted.
isting record under GAO’s control and
§ 81.1 Purpose and scope of part. does not include compiling or pro-
curing records, library or museum ma-
(a) This part implements the policy terial made, acquired, or preserved
of the U.S. Government Accountability solely for reference or exhibition pur-
Office (GAO) with respect to the public
poses, or extra copies of documents
availability of GAO records. While GAO
preserved only for convenience of ref-
is not subject to the Freedom of Infor-
erence.
mation Act (5 U.S.C. 552), GAO’s disclo-
sure policy follows the spirit of the act (c) Records available to the public
consistent with its duties and func- means records which may be examined
tions and responsibility to the Con- or copied or of which copies may be ob-
gress. Application of this act to GAO is tained, in accordance with this part, by
not to be inferred from the provisions the public or representatives of the
of these regulations. press regardless of interest and without
(b) GAO published testimonies, re- specific justification.
ports, and decisions or listings of publi- (d) Disclose or disclosure means mak-
cations are included within the scope ing available for examination or copy-
of this part to the extent that they ing, or furnishing a copy.
may be obtained from the GAO Web (e) Person includes an individual,
site, http://www.gao.gov, or from the partnership, corporation, association,
U.S. Government Accountability Of- or public or private organization other
fice, 441 G Street NW., Room LM, than a Federal agency.
Washington, DC 20548, or phone 202–512– (f) Compelling need means that a fail-
6000, FAX 202–512–6061, TDD 202–512– ure to obtain requested records on an
2537. [Please note that this address is expedited basis could reasonably be ex-
for published GAO documents only, pected to pose an imminent threat to
other records requests should be sent the life or physical safety of an indi-
to the address provided in section vidual, or the records are needed ur-
81.4(a).] gently, with respect to a request made
§ 81.2 Administration. by a person primarily engaged in dis-
seminating information, for the re-
The Chief Quality Officer administers quester to inform the public con-
this part and may promulgate such
cerning actual or alleged Federal Gov-

supplemental rules or regulations as ernment activity.
may be necessary.
83
§ 81.4 4 CFR Ch. I (1–1–11 Edition)
§ 81.4 Requests for identifiable or organization that originated the

records. records.
(b) It is the policy of GAO that prior
(a) A request to inspect or obtain a
to the release of a record of interview
copy of an identifiable record of GAO
created by GAO in connection with an
must be submitted in writing to the
audit, evaluation, or investigation of a
Chief Quality Officer, U.S. Government
program, activity, or funding of a gov-
Accountability Office, 441 G Street, ernment entity, GAO will notify the
NW., Washington, DC 20548. Requests agency from which an interview was
may also be made via a link from obtained of the request. GAO will pro-
GAO’s Internet Home page at http:// vide that agency with a reasonable op-
www.gao.gov. Requests also may be portunity to indicate whether the
emailed to recordsrequest@gao.gov. The record of interview or portions thereof
Chief Quality Officer will either ac- should be exempt from disclosure and
knowledge or honor the request within the reason(s) for the exemption. The
20 days of receipt. public disclosure of a record of inter-
(b) The Chief Quality Officer will view remains within the discretion of
honor requests for expedited processing GAO’s Chief Quality Officer, but GAO
before all other requests in cases in will consider the views of the agency
which the person requesting the and the exemptions provided for under
records demonstrates a compelling § 81.6 or any other law or regulation in
need. A demonstration of compelling deciding whether to release all or por-
need shall be made by a statement cer- tions of a record of interview.
tified by the requester to be true and (c) In order to avoid disruption of
correct to the best of the requester’s work in progress, and in the interests
knowledge and belief. of fairness to those who might be ad-
(c) In the event of an objection or versely affected by the release of infor-
doubt as to the propriety of providing mation which has not been fully re-
the requester with a copy of the record viewed to assure its accuracy and com-
sought, every effort will be made to re- pleteness, it is the policy of GAO not to
solve such problems as quickly as pos- provide records which are part of ongo-
sible, including consultation with ap- ing reviews or other current projects.
propriate GAO elements. If it is deter- In response to such requests, GAO will
mined that the record should be with- inform the requester of the estimated
held, the Chief Quality Officer shall in- completion date of the review or
form the requester in writing that the project so that the requester may then
request has been denied, shall identify ask for the records. At that time, the
the material withheld, and shall ex- records may be released unless exempt
plain the basis for the denial. from disclosure under § 81.6.
(d) A person whose request is denied [68 FR 33832, June 6, 2003, as amended at 72
in whole or part may administratively FR 50643, Sept. 4, 2007]
appeal the denial within 60 days after
the date of the denial by submitting a § 81.6 Records which may be exempt
letter to the Comptroller General of from disclosure.
the United States at the address listed The public disclosure of GAO records
in paragraph (a) of this section, ex- contemplated by this part does not
plaining why the denial of the request apply to records, or parts thereof, with-
was unwarranted. in any of the categories listed below.
Unless precluded by law, the Chief
§ 81.5 Records originating outside Quality Officer may nevertheless re-
GAO, records of interviews, or lease records within these categories.
records involving work in progress.
(a) Records relating to work per-
(a) It is the policy of GAO not to pro- formed in response to a congressional
vide records from its files that origi- request (unless authorized by the con-
nate in another agency or nonfederal gressional requester), congressional
organization to persons who may not correspondence, and congressional con-
be entitled to obtain the records from tact memoranda.
the originator. In such instances, re- (b) Records specifically required by

questers will be referred to the person an Executive Order to be kept secret in
84
the interest of national defense or for- (i) Records containing geological and
eign policy. An example of this cat- geophysical information and data (in-
egory is a record classified under Exec- cluding maps) concerning wells.
utive Order 12958, Classified National (j) Inter-agency or intra-agency memo-
Security Information. randa, letters, or other materials that are
(c) Records related solely to the internal part of the deliberative process. For ex-
personnel rules and practices of an agen- ample, this exemption includes inter-
cy. This category includes, in addition nal communications such as GAO or
to internal matters of personnel ad- other agency draft reports, and those
ministration, internal rules and prac- portions of internal drafts, memoranda
tices which cannot be disclosed with- and workpapers containing opinions,
out prejudice to the effective perform- recommendations, advice, or evalua-
ance of an agency function. Examples tive remarks of GAO employees. This
within the purview of this exemption exemption seeks to avoid the inhib-
are guidelines and procedures for audi- iting of internal communications, and
tors, investigators, or examiners, and the premature disclosure of documents
records concerning an agency’s secu- which would be detrimental to an agen-
cy decision making.
rity practices or procedures.
(k) Records in addition to those de-
(d) Records specifically exempted scribed in paragraph (j) of this section
from disclosure by statute provided containing information customarily
that such statute: subject to protection as privileged in a
(1) Requires that the matters be court or other proceedings, such as in-
withheld from the public in such a formation protected by the doctor-pa-
manner as to leave no discretion on the tient, attorney-work product, or law-
issue, or yer-client privilege.
(2) Establishes particular criteria for (l) Records GAO has obligated itself
withholding or refers to particular not to disclose, including but not lim-
types of matters to be withheld. ited to, records for which GAO officials
(e) Records containing trade secrets and have made a pledge of confidentiality,
commercial or financial information ob- and records the release of which would
tained from a person that are privileged or adversely impact significant property
confidential. This exemption may in- interests or negatively affect public
clude, but is not limited to, business safety.
sales statistics, inventories, customer (m) Unsolicited records containing in-
lists, scientific or manufacturing proc- formation submitted by any person to
esses or development information. GAO in confidence. An example of
(f) Personnel and medical files and simi- records covered by this exemption
lar files the disclosure of which could con- would be information obtained by the
stitute a clearly unwarranted invasion of GAO Office of General Counsel (GAO
personal privacy. This exemption ex- FraudNET).
cludes from disclosure all personnel [68 FR 33832, June 6, 2003, as amended at 72
and medical files, and all private or FR 50644, Sept. 4, 2007]
personal information contained in
other files, which, if disclosed to the § 81.7 Fees and charges.
public, would amount to a clearly un- (a) No fee or charge will be made for:
warranted invasion of the privacy of (1) Records provided under this part
any person. An example of such other when the direct costs involve less than
files within the exemption would be one hour of search time and 50 pages of
files compiled to evaluate candidates photocopying.
for security clearance. (2) Staff-hours spent in resolving any
(g) Records and information compiled legal or policy questions pertaining to
for law enforcement purposes. the request.
(h) Records having information con- (3) Copies of records, including those
tained in or related to examination, op- certified as true copies, furnished for
eration, or condition reports prepared official use to a federal government of-
by, on behalf of, or for the use of an ficer or employee.
agency responsible for the regulation (4) Copies of pertinent records fur-
or supervision of financial institutions. nished to a party having a direct and
85
§ 81.8 4 CFR Ch. I (1–1–11 Edition)
immediate interest in a matter pend- quester. Persons seeking a waiver or

ing before GAO, when necessary or de- fee reduction may be required to sub-
sirable to the performance of a GAO mit a statement setting forth the in-
function. tended purpose for which the records
(b) The fees and charges described are requested, indicate how disclosure
below will be assessed for the direct will primarily benefit the public and,
costs of search, review, and reproduc- in appropriate cases, explain why the
tion of records available to the public volume of records requested is nec-
under this part. essary. Determinations pursuant to
(1) The cost for reproduction per page this paragraph are solely within the
shall be 20 cents. discretion of GAO.
(2) The cost for a certification of au-
thenticity shall be $10 for each certifi- § 81.8 Public reading facility.
cate. GAO maintains a public reading fa-
(3) Manual search and review for cility in the Law Library at the Gov-
records by office personnel will be as- ernment Accountability Office Build-
sessed at $12, $25, or $45 per hour, de- ing, 441 G Street, NW., Washington, DC.
pending on the rate of pay of the indi- The facility shall be open to the public
vidual actually conducting the search from 8:30 a.m. to 4 p.m. except Satur-
or review, and the complexity of the day, Sundays, and holidays.
search.
(4) Other direct costs related to the PART 82—FURNISHING RECORDS
request may be charged for such items OF THE GOVERNMENT AC-
as computer searches.
(5) Except as noted immediately
COUNTABILITY OFFICE IN JUDI-
below, requesters generally will be CIAL PROCEEDINGS
charged only for document duplication.
However, there may be times when a Sec.
82.1 Court subpoenas or requests.
search charge will be added, for exam- 82.2 Fees and charges.
ple, if records are not described with
enough specificity to enable them to be AUTHORITY: 31 U.S.C. 711, 713, 714, 718, 3523,
2524, 2526, and 3529.
located within one hour. Requesters
seeking records for commercial use § 82.1 Court subpoenas or requests.
will be charged for document duplica-
tion, search, and review costs. Addi- (a) A subpoena or request from a
tionally, representatives of the news court for records of the Government
media, in support of a news gathering Accountability Office should be di-
or dissemination function, and edu- rected to the Comptroller General of
cation or noncommercial scientific in- the United States and served upon the
stitutions not seeking records for com- Records Management and Services Of-
mercial use will be charged only for ficer, Office of Information Systems
document duplication, unless such re- and Services.
quest requires extraordinary search or (b) In honoring a court subpoena or
review. request original records may be pre-
(c) GAO shall notify the requester if sented for examination but must not be
an advance deposit is required. presented as evidence or otherwise used
(d) Fees and charges shall be paid by in any manner by reason of which they
check or money order payable to the may lose their identity as official
U.S. Government Accountability Of- records of the Government Account-
fice. ability Office. They must not be
(e) The Chief Quality Officer may marked or altered, or their value as
waive or reduce the fees under this sec- evidence impaired, destroyed, or other-
tion upon a determination that disclo- wise affected. In lieu of the original
sure of the records requested is in the records, certified copies will be pre-
public interest, is likely to contribute sented for evidentiary purposes since
significantly to public understanding they are admitted in evidence equally
of the operations or activities of the with the originals (31 U.S.C. 704).
government, and is not primarily in [33 FR 358, Jan. 10, 1968, as amended at 45 FR
the commercial interest of the re- 84955, Dec. 24, 1980; 47 FR 56980, Dec. 22, 1982]
86
§ 82.2 Fees and charges. the Congress. Application of the Pri-

The provisions of § 81.7 of this chapter vacy Act to GAO is not to be inferred
from the provisions of these regula-
are applicable to this part; however,
tions. These regulations are designed
where the charging of fees is appro-
to safeguard individuals against inva-
priate, they need not be collected in
sions of personal privacy by requiring
advance.
GAO, except as otherwise provided by
[33 FR 358, Jan. 10, 1968, as amended at 47 FR law, to—
56980, Dec. 22, 1982] (a) Protect privacy interests of indi-
viduals by imposing requirements of
PART 83—PRIVACY PROCEDURES accuracy, relevance, and confiden-
FOR PERSONNEL RECORDS tiality for the maintenance and disclo-
sure of personnel records;
Sec. (b) Inform individuals of the exist-
83.1 Purpose and scope of part. ence of systems of personnel records
83.2 Administration. maintained by GAO containing per-
83.3 Definitions. sonal information; and
83.4 Conditions of disclosure. (c) Inform individuals of the right to
83.5 Specific disclosure of information.
see and challenge the contents of per-
83.6 Accounting of certain disclosures.
83.7 GAO policy and requirements. sonnel records containing information
83.8 Standards of conduct. about them.
83.9 Social Security number. This part applies to all systems of per-
83.10 First Amendment rights. sonnel records (as defined in § 83.3(g))
83.11 Official Personnel Folder. for which GAO is responsible.
83.12 Procedures for individual access to
records. § 83.2 Administration.
83.13 Inquiries.
83.14 Denial of access requests. The administration of this part is the
83.15 Request for amendment of record. duty and responsibility of the Director,
83.16 Administrative review of request for Personnel, U.S. Government Account-
amendment of record. ability Office, 441 G Street NW., Wash-
83.17 Fees. ington, D.C. 20548. To this end, the Di-
83.18 Rights of legal guardians.
83.19 Government contractors. rector, Personnel, in consultation with
83.20 Mailing lists. the Office of the General Counsel, is
83.21 Exemptions. authorized to issue such supplemental
APPENDIX I TO PART 83—MEMORANDUM OF UN- regulations or procedural directives as
DERSTANDING may be necessary and appropriate.
(a) The Director, Personnel, shall
AUTHORITY: 31 U.S.C. 711(1); Memorandum
of Understanding between the U.S. Office of have general responsibility and author-
Personnel Management, the National Ar- ity for implementing this part, includ-
chives and Records Service of the General ing—
Services Administration and the U.S. Gov- (1) Approving all systems of per-
ernment Accountability Office; 4 CFR part sonnel records to be maintained by
81; 5 CFR parts 294–297; and 31 U.S.C. 731, et GAO (whether physically located in
seq. GAO’s Office of Personnel or else-
SOURCE: 50 FR 13162, Apr. 3, 1985, unless where), including the contents and uses
otherwise noted. of such systems, accounting methods,
and security methods; and
§ 83.1 Purpose and scope of part. (2) Responding to an individual’s re-
This part describes the policy and quest to gain access to or amend his or
prescribes the procedures of the U.S. her own personnel records.
Government Accountability Office (b) The Director, Personnel, may del-
(GAO) with respect to maintaining and egate within GAO any of his functions
protecting the privacy of GAO per- under this part.
sonnel records. While GAO is not sub-
ject to the Privacy Act (Act) (5 U.S.C. § 83.3 Definitions.
552a), GAO’s policy is to conduct its ac- As used in this part:
tivities in a manner that is consistent (a) Individual means a citizen of the
with the spirit of the Act and its du- United States or an alien lawfully ad-
ties, functions, and responsibilities to mitted for permanent residence;
87
§ 83.4 4 CFR Ch. I (1–1–11 Edition)
(b) Information means papers, records, (a) To those officers and employees of
photographs, magnetic storage media, GAO who have a need for the record in
micro storage media, and other docu- the performance of their duties; or
mentary materials, regardless of phys- (b) Required under regulations imple-
ical form or characteristics, containing menting the public availability of GAO
data about an individual and required records published at part 81 of this
by GAO in pursuance of law or in con- chapter, or authorized under § 83.5; or
nection with the discharge of official (c) For a routine use as defined in
business, as defined by statute, regula- § 83.3(f); or
tion, or administrative procedure; (d) To a recipient who has provided
(c) Maintain includes to collect, to GAO with advance adequate written as-
use, or to disseminate; surance that the record will be used
(d) Personnel record means any record solely as a statistical research or re-
concerning an individual which is porting record, and the record is to be
maintained pursuant to GAO’s per- transferred in a form that is not indi-
sonnel management process or per- vidually identifiable; or
sonnel policy setting process; (e) To another agency or an instru-
(e) Record means any item, collec- mentality of any governmental juris-
tion, or grouping of information about diction within or under the control of
an individual that is maintained by the United States for a civil or crimi-
GAO, including, but not limited to, nal law enforcement activity if the ac-
education, financial transactions, med- tivity is authorized by law, if the head
ical history, criminal history, or em- of the agency or instrumentality has
ployment history, that contains the made a written request to GAO speci-
name or other identifying particular fying the particular record desired and
assigned to the individual, such as a the law enforcement activity for which
the record is sought; or
fingerprint, voice print, or a photo-
graph; (f) To any person pursuant to a show-
ing of compelling circumstances affect-
(f) Routine use means the disclosure
ing the health or safety of an indi-
of a record for a purpose which is com-
vidual (not necessarily the data sub-
patible with the purpose for which it
ject) if upon such disclosure notifica-
was collected;
tion is transmitted to the last known
(g) System of personnel records means a address of the subject of the personnel
group of personnel records under the record; or
control of GAO from which information (g) To either House of Congress, or,
is retrieved by the name of the indi- to the extent of matter within its juris-
vidual or by some identifying number, diction, any committee or sub-
symbol, or other indentifying par- committee of Congress; or
ticular assigned to the individual; and, (h) Pursuant to the order of a court
(h) System manager means the Direc- of competent jurisdiction or in connec-
tor of Personnel, his designee, or other tion with any judicial or quasi-judicial
GAO official designated by the Comp- proceedings; or
troller General, who has the authority (i) To the Bureau of the Census for
to decide matters relative to systems purposes of planning or carrying out a
of personnel records maintained by census or survey or related activity
GAO. pursuant to the provisions of Title 13,
United States Code; or
§ 83.4 Conditions of disclosure.
(j) To the National Archives of the
GAO shall not disclose any record United States as a record which has
that is contained in a system of per- sufficient historical or other value to
sonnel records by any means of com- warrant its continued preservation by
munication to any person or organiza- the U.S. Government, or for evaluation
tion, including another agency, with- by the Administrator of General Serv-
out the prior written consent of the in- ices or his designee to determine
dividual to whom the record pertains, whether the record has such value; or
unless disclosure of the record would (k) To a consumer reporting agency

be: in accordance with 31 U.S.C. 3711(f).
88
§ 83.5 Specific disclosure of informa- police or court official on receipt of a

tion. proper request stating that an indict-
(a) This section governs responses to ment has been returned against the
a member of the public, prospective employee or that complaint, informa-
employers, and law enforcement offi- tion, accusation, or other writ involv-
cials, for access to information covered ing nonsupport or a criminal offense
by this part. It does not limit in any has been filed against the employee
way other disclosures of information and the employee’s address is needed
pursuant to other provisions of this for service of a summons, warrant, sub-
part. poena, or other legal process.
(b) The following information about (f) Except as provided in paragraphs
most present and former GAO employ- (a) through (e) of this section, and ex-
ees is available to the public: cept as provided in this part, informa-
(1) Name; tion required to be included in an Offi-
(2) Present and past position titles; cial Personnel Folder is not available
(3) Present and past grades; to the public and is protected from dis-
(4) Present and past salaries; and closure by § 81.6(f) of this chapter.
(5) Present and past duty stations (g) Personnel Appeal Files. (Those
(which include room numbers, shop records maintained by the Government
designations, or other identifying in- Accountability Office Personnel Ap-
formation regarding buildings or places peals Board of petitions or appeals filed
of employment. with the Board by GAO employees,
(c) Disclosure of the above informa- former employees, or applicants for
tion will not be made where the infor- employment. Such records do not in-
mation requested is a list of present or clude any of the investigative files or
past position titles, grades, salaries, reports of the Personnel Appeals Board
and/or duty stations of Government General Counsel. See 4 CFR 28.18(c)).
employees which, as determined by the GAO, upon receipt of a request which
Director, Personnel, is: identifies the individual from whose
(1) Selected in such a way as to con- file the information is sought, shall
stitute a clearly unwarranted invasion disclose the following information
of personal privacy because the nature from a Personnel Appeal File to a
of the request calls for a response that member of the public, except when the
would reveal more about the employees disclosure would constitute a clearly
on whom information is sought than unwarranted invasion of personal pri-
the five enumerated items; or vacy:
(2) Would otherwise be protected (1) Confirmation of the name of the
from mandatory disclosure under an individual from whose file the informa-
exemption of part 81 of this title con- tion is sought and the names of the
cerning the public availability of GAO other parties concerned;
records. (2) The status of the case;
(d) In addition to the information (3) The decision on the case;
that may be made available under (4) The nature of the action appealed;
paragraph (a) of this section, GAO may and
make available the following informa- (5) With the consent of the parties
tion to a prospective employer of a concerned, other reasonably identified
GAO employee or former GAO em- information from the file.
ployee: (h) Leave records. The annual and sick
(1) Tenure of employment; leave record of an employee, or infor-
(2) Civil service status; mation from these records, is not to be
(3) Length of service in GAO and the made available to the public by GAO or
Government; and other Government agency.
(4) When separated, the date and rea- (i) Examinations and related subjects.
son for separation shown on the re- Information concerning the results of
quired standard form. examinations will be released only to
(e) In addition to the information to the individual concerned, and to those
be made available under paragraph (a) parties explicitly designated in writing
of this section, the home address of an by the individual. The names of appli-
employee shall be made available to a cants for GAO positions or eligibles on
89
§ 83.6 4 CFR Ch. I (1–1–11 Edition)
GAO or civil service registers, certifi- § 83.7 GAO policy and requirements.
cates, employment lists, or other lists
(a) GAO shall maintain in its per-
of eligibles, or their ratings or relative
sonnel records only such information
standings are not information avail-
about an individual as is relevant and
able to the public.
necessary to accomplish an authorized
(j) Investigations. (1) Upon written re- official purpose. Authority to maintain
quest, GAO will disclose to the parties personnel records does not constitute
concerned any report of personnel in- authority to maintain information in
vestigation under its control, or an ex- the record merely because a need for it
tract of the report, to the extent the may develop in the future. Both Gov-
report is involved in a processed before ernment-wide and internal agency per-
GAO. For the purpose of this para- sonnel records shall contain only infor-
graph, the ‘‘parties concerned’’ means mation concerning an individual that
the Government employee involved in is relevant and necessary to accom-
the proceeding, his or her representa- plish GAO’s personnel management ob-
tive designated in writing, and the rep- jectives as required by statute, GAO in-
resentative of GAO involved in the pro- ternal directive, or formal agreements
ceeding. Where GAO obtains reports of between GAO and other Federal agen-
personnel investigations or informa- cies.
tion from such reports from other gov-
(b) GAO shall make every reasonable
ernment agencies on condition that it
effort to collect information about an
not release such data, GAO will refer
individual directly from that indi-
parties requesting such information to
vidual when the information may re-
the originating agency where their re-
sult in adverse determinations about
quest will be processed.
the individual’s rights, benefits, and
(2) GAO will not make a report of in- privileges under Federal programs.
vestigation or information from a re- Factors to be considered in deter-
port under its control available to the mining whether to collect the data
public or to witnesses, except as other- from the individual concerned or a
wise required under GAO regulations third party are:
implementing the public availability of
(1) The nature of the information is
records published at part 81 of this
such that it can only be obtained from
chapter. another party;
§ 83.6 Accounting of certain disclo- (2) The cost of collecting the infor-
sures. mation directly from the individual is
unreasonable when compared with the
(a) With respect to each system of cost of collecting it from another
personnel records, GAO shall, except party;
for disclosures made under §§ 83.4(a) and (3) There is virtually no risk that in-
83.4(b), keep an accurate accounting formation collected from other parties,
of— if inaccurate, could result in a deter-
(1) The date, nature, and purpose of mination adverse to the individual con-
disclosure of a record to any person; cerned;
and (4) The information supplied by an
(2) The name and address of the per- individual must be verified by another
son, agency, or organization to whom party; or
the disclosure is made. (5) Provisions are made, to the great-
(b) Such accounting shall be retained est extent practical, to verify informa-
for at least 3 years or the life of the tion collected from another party with
record, whichever is longer, after the the individual concerned.
disclosure for which the accounting is (c) GAO shall inform each individual
made. whom it asks to supply information for
(c) Except for disclosures made under a personnel record, on the form which
§ 83.4(e), the accounting shall be avail- it uses to collect the information or on
able upon written request to the indi- a separate form that can be retained by
vidual named in the record. the individual, of—
90
(1) The authority for the solicitation essary to assure fairness to the indi-
of the information and whether disclo- vidual in the determination;
sure of such information is mandatory (f) GAO shall, prior to disseminating
or voluntary; any record about an individual to any
(2) The principal purpose or purposes person other than a Federal agency,
for which the information is intended make all reasonable efforts to reassure
to be used; that such records are accurate, com-
(3) The routine uses which may be plete, timely, and relevant for GAO’s
made of the information, as published purposes;
pursuant to paragraph (d)(4) of this sec- (g) GAO shall make reasonable ef-
tion; and forts to serve notice on an individual
(4) The effects, if any, of not pro- or his authorized representative when
viding all or any part of the requested any personnel record on such indi-
information; vidual is being made available to any
(d) Subject to the provisions of para- person under compulsory legal process
graph (i) of this section, GAO shall as soon as practicable after service of
publish in the FEDERAL REGISTER, upon the subpoena or other legal process;
establishment or revision, a notice of (h) GAO shall establish rules of con-
the existence and character of its sys- duct for persons involved in the design,
tems of personnel records. Such notice development, operation, or mainte-
shall include— nance of any system of personnel
(1) The name and location(s) of each records or files or in maintaining any
system of personnel records; record, and to instruct each person
with respect to such rules and require-
(2) The categories of individuals
ments of this part, including any other
about whom records are maintained in
rules and procedures adopted pursuant
each such system;
to this part;
(3) The categories of records main-
(i)(1) GAO shall establish and main-
tained in each system of personnel
tain appropriate administrative, tech-
records;
nical and physical safeguards to ensure
(4) Each routine use of the records the security and confidentiality of per-
contained in each system of personnel sonnel records. At a minimum, these
records, including the categories of controls shall require that all persons
users and the purpose(s) of such use; whose official duties require access to
(5) The policies and practices of GAO and use of personnel records be respon-
regarding storage, retrievability, ac- sible and accountable for safeguarding
cess controls, retention, and disposal of those records and for ensuring that the
the records; records are secured whenever they are
(6) The title and business address of not in use or under the direct control
the GAO official who is responsible for of authorized persons. Generally, per-
maintaining each system of personnel sonnel records should be held, proc-
records; essed, or stored only where facilities
(7) GAO procedures whereby an indi- and conditions are adequate to prevent
vidual can ascertain whether a system unauthorized access;
of personnel records contains a record (2) Except for access by the data sub-
pertaining to the individual; ject, only employees whose official du-
(8) Procedures whereby an individual ties require and authorize access shall
can request access to any record per- be allowed to handle and use personnel
taining to him contained in any system records, in whatever form or media the
of personnel records, and how the indi- records might appear. To the extent
vidual may contest its content; and feasible, entry into personnel record
(9) The categories of sources of storage areas shall be similarly lim-
records in each system of personnel ited. Documentation of the removal of
records. records from storage areas must be
(e) GAO shall maintain all records kept so that adequate control proce-
which it uses in making any deter- dures can be established to assure that
mination about any individual with removed records are returned intact on
such accuracy, relevancy, timeliness, a timely basis and properly controlled

and completeness as is reasonably nec- during such period of removal.
91
§ 83.8 4 CFR Ch. I (1–1–11 Edition)
(3) In addition to following the above official duties or required by statute,

security requirements, managers of regulation, or internal procedure.
automated personnel records shall es- (b) Any GAO employee who makes an
tablish and maintain administrative, unauthorized disclosure of personnel
technical, physical, and security safe- records or a disclosure of information
guards for data about individuals in derived from such records, knowing
automated records, including input and that such disclosure is unauthorized, or
output documents, reports, punched otherwise knowingly violates these
cards, magnetic tapes, disks, and on- regulations, shall be subject to appro-
line computer storage. As a minimum, priate disciplinary action. GAO em-
the safeguards must be sufficient to: ployees are prohibited from using per-
(i) Prevent careless, accidental, or sonnel information not available to the
unintentional disclosure, modification, public, obtained through official du-
or destruction of identifiable personal ties, for commercial solicitation or
data; sale, or for personal gain. Any em-
(ii) Minimize the risk of improper ac- ployee who knowingly violates this
cess, modification, or destruction of prohibition shall be subject to appro-
identifiable personnel data; priate disciplinary action.
(iii) Prevent casual entry by persons
who have no official reason for access § 83.9 Social Security number.
to such data; (a) GAO may not require individuals
(iv) Minimize the risk of unauthor- to disclose their Social Security Num-
ized disclosure where use is made of ber (SSN) unless disclosure would be
identifiable personal data in testing of required—
computer programs;
(1) Under Federal statute; or
(v) Control the flow of data into,
through, and from computer oper- (2) Under any statute, executive
ations; order, or regulation that authorizes
(vi) Adequately protect identifiable any Federal, State, or local agency
data from environmental hazards and maintaining a system of records that
unnecessary exposure; and was in existence and operating prior to
(vii) Assure adequate internal audit January 1, 1975, to request the SSN as
procedures to comply with these proce- a necessary means of verifying the
dures. identity of an individual.
(4) The disposal of identifiable per- (b) Individuals asked to voluntarily
sonal data in automated files is to be provide their SSN shall suffer no pen-
accomplished in such a manner as to alty or denial of benefits for refusing to
make the data unobtainable to unau- provide it.
thorized personnel. Unneeded personal (c) When GAO requests an individual
data stored on reusable media, such as to disclose his or her SSN, it shall in-
magnetic tapes and disks, must be form that individual whether that dis-
erased prior to release of the media for closure is mandatory or voluntary, by
reuse. what statutory or other authority such
(j) At least 30 days prior to publica- number is solicited, and what uses will
tion of information under paragraph be made of it.
(d)(4) of this section, GAO shall publish
in the FEDERAL REGISTER notice of any § 83.10 First Amendment rights.
new use or intended use of the informa- Personnel records or entries thereon
tion in the system, and provide an op- describing how individuals exercise
portunity for interested persons to sub- rights guaranteed by the First Amend-
mit written data, views, or arguments ment to the United States Constitution
to GAO. are prohibited, unless expressly author-
ized by statute or by the individual
§ 83.8 Standards of conduct. concerned, or unless pertinent to and
(a) GAO employees whose official du- within the scope of an authorized law
ties involve the maintenance and han- enforcement activity. These rights in-
dling of personnel records shall not dis- clude, but are not limited to, free exer-
close information from any personnel cise of religious and political beliefs,
record unless disclosure is part of their freedom of speech and the press, and
92
freedom to assemble and to petition records even when they are transferred
the Government. to an executive branch agency.
(3) The Official Personnel Folders of
§ 83.11 Official Personnel Folder. current GAO employees who were em-
(a) GAO shall establish and maintain ployed prior to October 1, 1980, by ei-
an Official Personnel Folder for each of ther GAO or an executive branch agen-
its employees, except as provided in cy shall be under the control of GAO,
the GAO/U.S. OPM/GSA Memorandum but those records established prior to
of Understanding (see subsection (b)). October 1, 1980, by GAO, and all records
Except as provided for in Federal Per- established as a result of employment
sonnel Manual (FPM) Supplement 293– by an executive branch agency shall re-
31 there will be only one Official Per- main under the jurisdiction of, and be
sonnel Folder maintained for each em- part of the records of, U.S. OPM.
ployee.
(4) GAO will maintain those Official
(b) GAO/U.S. OPM/GSA Memorandum
Personnel Folders containing records
of Understanding. The Memorandum of
Understanding agreed to by the U.S. of employment by an executive branch
Government Accountability Office, the Federal agency, or by GAO prior to Oc-
U.S. Office of Personnel Management tober 1, 1980, in compliance with regu-
(U.S. OPM), and the National Archives lations of the U.S. OPM in accordance
and Records Service of the General with the procedures contained in the
Services Administration (GSA), Appen- Memorandum of Understanding and the
dix I, constitutes the official and sole provisions of regulations of U.S. OPM
agreement concerning the continuity contained in 5 CFR parts 293, 294, and
and coordination of the Official Per- 297, as well as the provisions of FPM
sonnel Folder. Chapters 293, 294, and 297.
(c) GAO policy is to assure con- (e) Maintenance and content of Folder.
tinuity and coordination of the Official GAO shall maintain in the Official Per-
Personnel Folder when a person, for sonnel Folder the reports of selection
whom an Official Personnel Folder has and other personnel actions named in
been established, separates from GAO, section 2951 of title 5, United States
or transfers to or from GAO from or to Code. The Folder shall also contain
a Federal agency subject to regulations permanent records affecting the em-
of the U.S. OPM relating to Official ployee’s status and service as required
Personnel Folders. GAO will maximize by U.S. OPM instructions and as des-
the pooling of information between ignated in FPM Supplement 293–31.
itself and those Federal agencies sub- (f) Use of existing Folders upon transfer
ject to U.S. OPM rules and regulations or reemployment. In accordance with
concerning the Official Personnel Fold- paragraph (a) of this section, GAO shall
er so that a GAO employee may trans- request the transfer of the Official Per-
fer to and from other Federal agencies sonnel Folder for a person who was pre-
with one complete and informative Of- viously employed with a Federal agen-
ficial Personnel Folder. cy that maintains such a Folder. The
(d) Ownership of Official Personnel
Folder so obtained shall be used in lieu
Folder. (1) The Official Personnel Fold-
of establishing a new Official Personnel
ers of individuals whose employment
Folder.
with GAO terminated prior to October
1, 1980, are the records of U.S. OPM and (1) When a person for whom an Offi-
are under the jurisdiction and control cial Personnel Folder has been estab-
of U.S. OPM. lished transfers from GAO to another
(2) The Official Personnel Folders of Federal agency that maintains the
current GAO employees whose GAO Folder, GAO shall, on request, transfer
employment began on or after October the Folder to the new employing agen-
1, 1980, and who have had no previous cy.
employment by an executive branch (2) Before transferring the Official
agency of the Federal government shall Personnel Folder, GAO shall—
be under the jurisdiction and control (i) Remove those records of a tem-
of, and are the records of GAO. GAO porary nature filed on the left side of
shall retain jurisdiction over such the Folder; and
93
§ 83.12 4 CFR Ch. I (1–1–11 Edition)
(ii) Ensure that all permanent docu- access to the records has been granted
ments of the Folder are complete, cor- by a system manager or designee:
rect, and present in the Folder in ac- (1) Inspection in person may be made
cordance with FPM Supplement 293–31. in the office designated in the system
(g) Disposition of Folders of former Fed- notice during the hours specified by
eral employees. (1) Folders containing GAO.
the personnel records of individuals (2) Upon the determination of the
separated from employment with GAO designated GAO official, records may
will be retained by GAO for 30 days be transferred to a GAO office more
after separation, and may be retained convenient to the data subject to re-
for an additional 60 days. Thereafter, view.
the Folder shall be transferred to the (3) Generally, GAO will not furnish
same location and in the same manner certified copies of records. Where cer-
as Official Personnel Folders of persons tified copies of records are to be fur-
separated from Federal agencies which nished, they may be mailed at the re-
are subject to U.S. OPM regulations in quest of the data subject or, as deter-
accordance with the Memorandum of mined by GAO, only after payment of
Understanding. any fee levied in accordance with § 83.17
(2) GAO shall remove temporary is received.
records from the Folder before it is (4) In no event shall original records
transferred in accordance with guide- be made available for review by the in-
lines applicable to Federal agencies dividual except in the presence of a
which are subject to U.S. OMP regula- system manager or designee.
tions. (b) The general identifying informa-
(3) If a former GAO employee is re- tion items that the designated GAO of-
appointed in the Federal service, the ficial may ask to be furnished before a
employee’s Folder shall, upon request, specific inquiry is granted include:
be transferred to the new employing (1) Full name, signature, and home
agency. address;
(h) Access requests and amendments to (2) Picture identification card;
the Official Personnel Folder. Requests (3) The current or last place and
for access to, disclosure from, correc- dates of Federal employment, if appro-
tion of, or amendments to documents priate; and
contained in the Official Personnel (4) Social security number (for those
Folder will be made in accordance with systems of records retrieved by this
the Memorandum of Understanding. identifier).
(c) A request or inquiry from some-
§ 83.12 Procedures for individual ac- one other than the individual to whom
cess to records. the information pertains shall contain
(a) Upon written request by any indi- such documents or copies of documents
vidual outside of GAO or upon written that establish the relationship or au-
or oral request by any officer or em- thorize access as follows:
ployee of GAO to gain access to his or (1) When the requester is the parent
her record or to any information per- or legal guardian of a data subject who
taining to the individual which is con- is a minor, the requester shall identify
tained in a system of personnel the relationship with the data subject
records, and not otherwise exempted, and furnish a certified or authenticated
GAO shall permit the individual and (e.g. notarized) copy of any document
upon the individual’s request a person establishing parentage or appointment
of his or her own choosing to accom- as legal guardian.
pany him or her, to review the record (2) Where the requester is the legal
and have a copy made of all or any por- guardian of a data subject who has
tion thereof in a form comprehensible been declared incompetent by the
to him or her, except that GAO may re- courts, the requester shall identify the
quire the individual to furnish a writ- relationship with the data subject and
ten statement authorizing discussion furnish a certified or authenticated
of that individual’s record in the ac- copy of the court’s appointment of

companying person’s presence. When guardianship.
94
(3) Where the requester is a rep- thorization as is prescribed in para-

resentative of the data subject, the re- graphs (c) and (d) of this section.
quester shall identify the relationship (f) The signed request from the data
with the data subject or the data sub- subject, or from the data subject’s par-
ject’s parent or legal guardian, and fur- ent, legal guardian, or authorized rep-
nish documentation designating the resentative specified in paragraph (c)
representative as having the authority of this section shall be sufficient proof
to act on behalf of the data subject. of identity of the requester, unless for
(d) When the requester appears in good cause, the system manager or des-
person and cannot be identified by ignee determines that there is a need
sight and signature, proof of identity is to require some notarized or certified
required as follows: evidence of the identity of the re-
(1) When a request is from the data quester.
subject, the means of proof, in order of
preference, are: § 83.13 Inquiries.
(i) A document bearing the individ- (a) General inquiries to request as-
ual’s photograph and signature (for ex- sistance in identifying which system of
ample, driver’s license, passport, or records may contain a record about an
military or civilian identification individual may be made in person or by
card); or mail to the Director, Personnel.
(ii) Two documents bearing the indi- (b) An inquiry that requests GAO to
vidual’s signature (for example, Medi- determine if it has, in a given system
care card, unemployment insurance of personnel records, a record about the
book, employer identification card, inquirer, should be addressed to the of-
major credit card, professional, draft, ficial identified in the FEDERAL REG-
or union membership card). ISTER notice for that system. Inquirers
(2) When a request is made by the should specify the name of the system
parent, legal guardian, or authorized of personnel records, if known, as pub-
representative of the data subject, the lished in the FEDERAL REGISTER. Such
means of identifying the requester and inquiries should contain the identi-
his or her authority for acting on be- fying data prescribed in § 83.12 before a
half of the data subject shall be as pre- search can be made of that particular
scribed in paragraph (c) of this section. system of records.
In addition, the requester shall estab-
lish the identity of the data subject by § 83.14 Denial of access requests.
requiring the identifying information (a) If an access request is denied, the
in paragraph (b) of this section. official denying the request shall give
(e) When a written inquiry or request the requester the following informa-
is received from the data subject, or tion:
from the data subject’s parent, legal (1) The official’s name, position title,
guardian, or authorized representative, and business mailing address;
it should be signed and— (2) The date of the denial;
(1) For an inquiry, contain sufficient (3) The reasons for the denial, includ-
identifying information about the data ing citation of appropriate sections of
subject to permit searching of the this or any other applicable part; and
record system(s) and to permit re- (4) The individual’s opportunities for
sponse; and further administrative consideration,
(2) For an access request— including the name, position title, and
(i) From the data subject, contain address of the GAO official (see para-
sufficient information to locate the graph (c) of this section) responsible
record and establish that the requester for such further review.
and the data subject are the same (e.g. (b) Denial of a request for access to
matching signatures); or records will be made only by the offi-
(ii) From the data subject’s parent, cial GAO designee and only upon a de-
legal guardian, or authorized rep- termination that:
resentative, contain sufficient informa- (1) The record is subject to an exemp-
tion to locate the record, match iden- tion under § 83.21 when the system
tity with the data subject, and such manager has elected to invoke the ex-
documentation of association or au- emption; or
95
§ 83.15 4 CFR Ch. I (1–1–11 Edition)
(2) The record is information com- lieves is not accurate, relevant, timely,
piled in reasonable anticipation of a or complete; or
civil action or proceeding; or (2) Inform the individual of the re-
(3) The data subject or authorized fusal to amend the record in accord-
representative of the data subject re- ance with his or her request, the reason
fuses to abide by procedures for gaining for the refusal, and the name and busi-
access to records. ness address of the GAO official respon-
(c) A request for administrative re- sible for the refusal.
view of a denial shall be made to the (3) The GAO offical shall permit an
Assistant Comptroller General for individual who disagrees with the re-
Human Resources, U.S. Government fusal by the designated GAO official to
Accountability Office, 441 G Street, amend his or her record to request re-
NW, Washington, D.C. 20548. The As- view of such refusal. A request for ad-
sistant Comptroller General shall ac- ministrative review of a denial shall be
knowledge receipt of a request for ad- made in accordance with § 83.16.
ministrative review of a denial of ac- (4) In any disclosure containing infor-
cess within 10 working days after re- mation about which the individual has
ceipt of the request. If it is not possible filed a statement of disagreement, oc-
to reach a decision within an addi- curring after the filing of the state-
tional 10 working days, the requester ment under § 83.16(d), GAO shall clearly
shall be informed of the approximate note any portion of the record which is
date (within 30 working days) when disputed and provide copies of a con-
such a decision may be expected. cise statement of the reasons for not
(d) In reaching a decision, the Assist- making the amendments requested, to
ant Comptroller General will review persons or other agencies to whom the
the criteria prescribed in this section disputed record has been disclosed.
which were cited as the basis for deny- (5) Nothing in this section shall allow
ing access, and may seek additional in- an individual access to any informa-
formation as deemed necessary. tion compiled in reasonable anticipa-
tion of a civil action or proceeding.
§ 83.15 Request for amendment of (d) If necessary, the official author-
record. ized to rule on a request for amend-
(a) Individuals may request the ment may seek additional information
amendment of their records in writing pertinent to the request to assure that
or in person by contacting the system a fair, equitable, and accurate decision
manager or designee indicated in the is reached.
notice of systems of records published (e) The following criteria will be con-
by GAO in the FEDERAL REGISTER. sidered by the system manager or des-
Time limits will be measured from re- ignee in reviewing initial requests for
ceipt at the proper office. amendment of records:
(b) A request for amendment should (1) The sufficiency of the evidence
include the following: submitted by the data subject;
(1) The precise identification of the (2) The factual accuracy of the infor-
records sought to be amended, deleted, mation submitted and the information
or added. in the record;
(2) A statement of the reasons for the (3) The relevancy, necessity, timeli-
request, with all available documents ness, and completeness of the informa-
and material that substantiate the re- tion in light of the purpose for which it
quest. was collected;
(c) GAO shall permit an individual to (4) The degree of possibility that de-
request amendment of a record per- nial of the request could result in un-
taining to the individual. Not later fair determinations adverse to the data
than 10 working days after the date of subject;
receipt of such request, the designated (5) The character of record sought to
GAO official shall acknowledge in writ- be amended;
ing such request and, promptly, ei- (6) The propriety and feasibility of
ther— complying with specific means of
(1) Make any correction of any por- amendment requested by the data sub-
tion thereof which the individual be- ject; and
96
(7) The possible involvement of the (1) The record is subject to an exemp-
record in a judicial or quasi-judicial tion from the provisions of this part,
process. allowing amendment of records;
(2) The information submitted by the
§ 83.16 Administrative review of re- data subject is not accurate, relevant,
quest for amendment of record. or of sufficient probative value;
(a) A request for administrative re- (3) The amendment would violate a
view of GAO’s denial to amend a record statute or regulation;
in GAO’s system of personnel records (4) The individual refuses to provide
shall be addressed to the Assistant information which is necessary to proc-
Comptroller General for Human Re- ess the request to amend the record; or
sources, U.S. Government Account- (5) The record for which amendment
ability Office, 441 G Street, NW, Wash- is requested is a record presented in a
ington, D.C. 20548. The Assistant Comp- judicial or quasi-judicial proceeding, or
troller General shall acknowledge re- maintained in anticipation of being
ceipt of a request for administrative used in a judicial or quasi-judicial pro-
review of a denial of amendment with- ceeding, when such record is or will be-
in 10 working days. come available to the individual under
(b) If a decision cannot be made with- that proceeding.
in an additional 10-day period, a letter (f) If, after review, the Assistant
will be sent within that time explain- Comptroller General for Human Re-
ing the delay and furnishing an ex- sources also refuses to amend the
pected date for the decision. A decision record in accordance with the request,
on the request must be made within 30 the individual will be permitted to file
working days after receipt of the re- with the system manager or designee
quest. Only for good cause shown, and of the system of records concerned a
at the discretion of the Assistant concise statement setting forth the
Comptroller General for Human Re- reasons for his or her disagreement.
sources can this time limit be ex- Any such statement of disagreement
tended. Any extension requires written will be treated in accordance with
notification to the requester explain- paragraph (c)(4) of § 83.15.
ing the reason for the extension and
furnishing a new expected date for the § 83.17 Fees.
decision. Generally, such extension (a) Generally, GAO’s policy is to pro-
shall be for no more than an additional vide the first copy of any record or por-
30 working days. tion thereof, furnished as a result of
(c) When a request for administrative this part, at no cost to the data subject
review of an amendment denial is sub- or authorized representative. However,
mitted, the individual must provide a in cases where GAO deems it appro-
copy of the original request for amend- priate (for example, where the record is
ment, a copy of the initial denial, and voluminous), the system manager or
a statement of the specific reasons why designee in his or her discretion may
the initial denial is believed to be in charge a fee when the cost for copying
error. the record (at a rate of 20 cents per
(d) An individual requesting an page) would be in excess of ten dollars
amendment of a record has the burden ($10).
of supplying information in support of (b) There shall be no fees charged or
the propriety and necessity of the collected from a data subject for the
amendment request. The decision on following:
the request will then be rendered based (1) Search for or retrieval of the data
on a review of the data submitted. The subject’s records;
GAO official is not required to gather (2) Review of the records;
supporting evidence for the individual (3) Making a copy of a record when it
and will have the right to verify the is a necessary part of the process of
evidence which the individual submits. making the record available for review;
(e) Amendment of a record will be de- (4) Copying at the initiative of GAO
nied upon a determination by the sys- without a request from the individual;
tem manager or designee that: (5) Transportation of the record; and
97
§ 83.18 4 CFR Ch. I (1–1–11 Edition)
(6) Making a copy of an amended tional defense or foreign policy and is

record to provide the individual with in fact classified pursuant to such Ex-
evidence of the amendment. ecutive order. See 31 U.S.C. 716(e)(1) and
(c) Certification of authenticity shall 718(b)(3) concerning the applicability of
be $10 for each certificate, which fee these requirements to GAO.
may be waived in the discretion of the (2) Investigatory material compiled
system manager or designee. for law enforcement purposes: Provided,
however, That if any individual is de-
§ 83.18 Rights of legal guardians.
nied any right, privilege, or benefit
For the purposes of this part, the par- that he would otherwise be entitled to
ent of any minor, or the legal guardian by Federal law, or for which he would
of any individual who has been de- otherwise be eligible, as a result of the
clared to be incompetent due to phys- maintenance of such material, such
ical or mental incapacity or age by a material shall be provided to such indi-
court of competent jurisdiction, may vidual, except to the extent that the
act on behalf of the individual. disclosure of such material would re-
§ 83.19 Government contractors. veal the identity of a source who fur-
nished information to the Government
When GAO provides by a contract for under an express promise that the iden-
the operation by or on behalf of GAO of tity of the source would be held in con-
a system of personnel records to ac- fidence, or, prior to the effective date
complish a function of GAO, GAO shall, of this section, under an express or im-
consistent with its authority, cause plied promise that the identity of the
the requirements of this part to be ap- source would be held in confidence;
plied to such system. Any such con-
(3) Maintained in connection with
tractor and any employee of such con-
providing protection services to the
tractor, if such contract is agreed to on
President of the United States or other
or after the effective date of this sec-
tion, shall be considered, for the pur- individuals pursuant to section 3056 of
poses of this part, to be an employee of Title 18, United States Code;
GAO. Contractor employees will be re- (4) Required by statute to be main-
quired to observe the confidentiality tained and used solely as statistical
requirements of this part. Violations of records;
this part by contractor employees may (5) Investigatory material compiled
be a sufficient ground for contract ter- solely for the purposes of determining
mination. suitability, eligibility, or qualifica-
tions for Federal civilian employment,
§ 83.20 Mailing lists. military service, Federal contracts, or
An individual’s name and address access to classified information, but
may not be sold or rented by GAO un- only to the extent that the disclosure
less such action is specifically author- of such material would reveal the iden-
ized by law. This provision shall not be tity of the source who furnished infor-
construed to require the withholding of mation to the Government under an
names and addresses otherwise per- express promise that the identity of
mitted to be made public. the source would be held in confidence,
or, prior to the effective date of this
§ 83.21 Exemptions. section, under an express or implied
(a) All personnel records are exempt- promise that the identity of the source
ed from §§ 83.6(c), 83.12, 83.13, 83.14, and would be held in confidence (see
83.15, relating to making an accounting § 83.5(j)(1) for the procedure to be used
of disclosures available to the data sub- to obtain investigative data originated
ject or his authorized representative by other Government agencies);
and access to and amendment of the (6) Testing or examination material
records and other sections relating to used solely to determine individual
procedural requirements of the above- qualifications for appointment or pro-
cited sections if the record is: motion in the Federal service the dis-
(1) Specifically authorized under cri- closure of which would compromise the
teria established by an Executive order objectivity or fairness of the testing or

to be kept secret in the interest of na- examination process; or
98
Government Accountability Office Pt. 83, App. I
(7) Evaluation material used to deter- a position subject to the GAO Personnel Act
mine potential for promotion in the of 1980 (Pub. L. 96–191) and its implementing
armed services, but only to the extent regulations and procedures;
that the disclosure of such material (2) The exchange of personnel documents
and data between the Federal civil service
would reveal the identity of a source administered by OPM and the personnel sys-
who furnished information to the Gov- tem administered by GAO;
ernment under an express promise that (3) The establishment of procedures for
the identity of the source would be processing requests for access to, disclosure
held in confidence, or, prior to the ef- from, and amendment of documents in the
fective date of this section, under an OPF of an individual who has service under
express or implied promise that the both personnel systems;
identity of the source would be held in (4) The establishment of procedures to be
confidence. followed by the National Personnel Records
Center (NPRC) when responding to requests
APPENDIX I TO PART 83—MEMORANDUM pertaining to separated employees in any of
the following circumstances:
OF UNDERSTANDING
(a) When the OPF contains documentation
This memorandum of understanding con- resulting from employment in both systems;
stitutes an agreement between the U.S. Of- (b) When a request is received for transfer
fice of Personnel Management (OPM), the of an OPF between systems;
National Archives and Records Service of the (c) When processing a request for an OPF,
General Services Administration (NARS), and that OPF contains only records of GAO
and the U.S. Government Accountability Of- employment since October 1, 1980;
fice (GAO) concerning: (5) The agreement of the parties to consult
(1) The maintenance of the Official Per- and cooperate in matters relating to the es-
sonnel Folder (OPF) of an individual who has tablishment and revision of personnel proce-
been employed in a position subject to the dures which may have mutual effect so as to
provisions of Title 5, U.S.C. and to the regu- insure the sharing of essential information
lations and procedures issued by OPM to while minimizing the recordkeeping burden
govern the Federal civil service, and also in of all three parties.
SUBCHAPTER G [RESERVED]
99
CHAPTER II—RECOVERY ACCOUNTABILITY
AND TRANSPARENCY BOARD
Part Page
200 Privacy Act of 1974 .................................................. 103
201 Public information and requests ............................. 109
202 Official seal ............................................................. 118
101
PART 200—PRIVACY ACT OF 1974 (c) Maintain means to collect, use,
store, or disseminate records as well as
Sec. any combination of these record-
200.1 Purpose and scope. keeping functions. The term also in-
200.2 Definitions. cludes exercise of control over, and
200.3 Privacy Act records maintained by the therefore responsibility and account-
Board. ability for, systems of records;
200.4 Privacy Act inquiries.
200.5 Requests for access to records.
(d) Record means any item, collec-
200.6 Processing of requests. tion, or grouping of information about
200.7 Fees. an individual that is maintained by the
200.8 Appealing denials of access. Board and contains the individual’s
200.9 Requests for correction of records. name or other identifying information,
200.10 Disclosure of records to third parties. such as a number or symbol assigned to
200.11 Maintaining records of disclosures. the individual or his or her fingerprint,
200.12 Notification of systems of Privacy
Act records. voice print, or photograph. The term
200.13 Privacy Act training. includes, but is not limited to, infor-
200.14 Responsibility for maintaining ade- mation regarding an individual’s edu-
quate safeguards. cation, financial transactions, medical
200.15 Systems of records covered by exemp- history, and criminal or employment
tions. history;
200.16 Mailing lists.
(e) System of records means a group of
200.17 Exemptions.
records under the control of the Board
AUTHORITY: 5 U.S.C. 552a(f). from which information is retrievable
SOURCE: 74 FR 60127, Nov. 20, 2009, unless by use of the name of the individual or
otherwise noted. by some number, symbol, or other
identifying particular assigned to the
§ 200.1 Purpose and scope. individual;
This part sets forth the policies and (f) Routine use means, with respect to
procedures of the Board regarding ac- the disclosure of a record, the use of a
cess to systems of records maintained record for a purpose that is compatible
by the Board under the Privacy Act, with the purpose for which it was col-
Public Law 93–579, 5 U.S.C. 552a. The lected;
provisions in the Act shall take prece- (g) Designated Privacy Act Officer
dence over any part of the Board’s reg- means the person named by the Board
ulations in conflict with the Act. These to administer the Board’s activities in
regulations establish procedures by regard to the regulations in this part;
which an individual may exercise the (h) Executive Director means the chief
rights granted by the Privacy Act to operating officer of the Board;
determine whether a Board system of (i) Days means standard working
records contains a record pertaining to days, excluding weekends and federal
him or her; to gain access to such holidays.
records; and to request correction or
amendment of such records. These reg- § 200.3 Privacy Act records maintained
ulations also set identification require- by the Board.
ments and prescribe fees to be charged (a) The Board shall maintain only
for copying records. such information about an individual
as is relevant and necessary to accom-
§ 200.2 Definitions. plish a purpose of the agency required
As used in this part: by statute or by Executive Order of the
(a) Agency means any executive de- President. In addition, the Board shall
partment, military department, gov- maintain all records that are used in
ernment corporation, or other estab- making determinations about any indi-
lishment in the executive branch of the vidual with such accuracy, relevance,
federal government, including the Ex- timeliness, and completeness as is rea-
ecutive Office of the President or any sonably necessary to ensure fairness to
independent regulatory agency; that individual in the making of any
(b) Individual means any citizen of determination about him or her. How-
the United States or an alien lawfully ever, the Board shall not be required to
admitted for permanent residence; update retired records.
103
§ 200.4 4 CFR Ch. II (1–1–11 Edition)
(b) The Board shall not maintain any calling the Privacy Act Officer at (202)
record about any individual with re- 254–7900.
spect to or describing how such indi- (e) Requests in person. Any person
vidual exercises rights guaranteed by may examine and request copies of his
the First Amendment of the Constitu- or her own records on the Board’s
tion of the United States, unless ex- premises. The requester should contact
pressly authorized by statute or by the the Board’s office at least one week be-
subject individual, or unless pertinent fore the desired appointment date. This
to and within the scope of an author- request may be made to the Privacy
ized law enforcement activity. Act Officer in writing or by calling
(202) 254–7900. Before viewing the
§ 200.4 Privacy Act inquiries. records, proof of identification must be
(a) Inquiries regarding the contents of provided. The identification should be
record systems. Any person wanting to a valid copy of one of the following:
know whether the Board’s systems of (1) A government ID;
records contain a record pertaining to (2) A driver’s license;
him or her may file an inquiry in per- (3) A passport; or
son, by mail or by telephone. (4) Other current identification that
(b) Inquiries in person may be sub- contains both an address and a picture
mitted at the Board’s headquarters lo- of the requester.
cated at 1717 Pennsylvania Avenue,
NW., Suite 700, Washington, DC 20006. § 200.6 Processing of requests.
Inquiries should be marked ‘‘Privacy Upon receipt of a request for infor-
Act Inquiry’’ on each page of the in- mation, the Privacy Act Officer will as-
quiry and on the front of the envelope certain whether the records identified
and directed to the Privacy Act Officer. by the requester exist, and whether
(c) Inquiries by mail may be sent to: they are subject to any exemption
Privacy Act Officer, Recovery Account- under § 200.15. If the records exist and
ability and Transparency Board, 1717 are not subject to exemption, the Pri-
Pennsylvania Avenue, NW., Suite 700, vacy Act Officer will provide the infor-
Washington, DC 20006. ‘‘Privacy Act In- mation.
quiry’’ should be written on the enve- (a) Requests in writing, including those
lope and each page of the inquiry. sent by fax. Within five working days of
(d) Telephone inquiries may be made receiving the request, the Privacy Act
by calling the Board’s Privacy Act Offi- Officer will acknowledge its receipt
cer at (202) 254–7900. and will advise the requester of any ad-
ditional information that may be need-
§ 200.5 Requests for access to records. ed. Within 15 working days of receiving
(a) All requests for records should in- the request, the Privacy Act Officer
clude the following information: will send the requested information or
(1) Full name, address, and telephone will explain to the requester why addi-
number of requester. tional time is needed for a response.
(2) The system of records containing (b) Requests in person or by telephone.
the desired information. Within 15 days of the initial request,
(3) Any other information that the the Privacy Act Officer will contact
requester believes would help locate the requester and arrange an appoint-
the record. ment at a mutually agreeable time
(b) Requests in writing. A person may when the record can be examined. The
request access to his or her own requester may be accompanied by no
records in writing by addressing a let- more than one person. In such case, the
ter to: Privacy Act Officer, Recovery requestor must inform the Privacy Act
Accountability and Transparency Officer that a second individual will be
Board, 1717 Pennsylvania Avenue, NW., present and must sign a statement au-
Suite 700, Washington, DC 20006. thorizing disclosure of the records to
(c) Requests by fax. A person may re- that person. The statement will be
quest access to his or her records by kept with the requester’s records. At
facsimile at (202) 254–7970. the appointment, the requester will be
(d) Requests by phone. A person may asked to present identification as stat-

request access to his or her records by ed in § 200.5(e).
104
Recovery Accountability and Transparency Board § 200.10
(c) Excluded information. If a request (b) Initial response. Receipt of a cor-

is received for information compiled in rection request will be acknowledged
reasonable anticipation of litigation, by the Privacy Act Officer in writing
the Privacy Act Officer will inform the within five working days. The Privacy
requester that the information is not Act Officer will provide a letter to the
subject to release under the Privacy requester within 20 working days stat-
Act (see 5 U.S.C. 552a(d)(5)). ing whether the request for correction
has been granted or denied. If the Pri-
§ 200.7 Fees.
vacy Act Officer denies any part of the
A fee will not be charged for search- correction request, the reasons for the
ing, reviewing, or making corrections denial will be provided to the re-
to records. A fee for copying will be as- quester.
sessed at the same rate established for
the Freedom of Information Act re- § 200.10 Disclosure of records to third
quests. Duplication fees for paper cop- parties.
ies of a record will be 10 cents per page
(a) The Board will not disclose any
for black and white and 20 cents per
page for color. For all other forms of record that is contained in a system of
duplication, the Board will charge the records to any person or agency, except
direct costs of producing the copy. with a written request by or with the
However, the first 100 pages of black- prior written consent of the individual
and-white copying or its equivalent whose record is requested, unless dis-
will be free of charge. closure of the record is:
(1) Required by an employee or agent
§ 200.8 Appealing denials of access. of the Board in the performance of his/
(a) If access to records is denied by her official duties.
the Privacy Act Officer, the requester (2) Required under the provisions of
may file an appeal in writing. The ap- the Freedom of Information Act (5
peal should be directed to Executive U.S.C. 552). Records required to be
Director, Recovery Accountability and made available by the Freedom of In-
Transparency Board, 1717 Pennsylvania formation Act will be released in re-
Avenue, NW., Suite 700, Washington, sponse to a request in accordance with
DC 20006. the Board’s regulation published at 4
(b) The appeal letter must specify the CFR Part 201.
denied records that are still sought, (3) For a routine use as published in
and state why denial by the Privacy the annual notice in the FEDERAL REG-
Act Officer is erroneous. ISTER.
(c) The Executive Director or his or (4) To the Census Bureau for planning
her designee will respond to appeals or carrying out a census, survey, or re-
within 20 working days of the receipt of lated activities pursuant to the provi-
the appeal letter. The appeal deter- sions of Title 13 of the United States
mination will explain the basis of the
Code.
decision to deny or grant the appeal.
(5) To a recipient who has provided
§ 200.9 Requests for correction of the Board with adequate advance writ-
records. ten assurance that the record will be
(a) Correction requests. Any person is used solely as a statistical research or
entitled to request correction of his or reporting record and that the record is
her record(s) covered under the Act. to be transferred in a form that is not
The request must be made in writing individually identifiable.
and should be addressed to Privacy Act (6) To the National Archives and
Officer, Recovery Accountability and Records Administration as a record
Transparency Board, 1717 Pennsylvania that has sufficient historical or other
Avenue, NW., Suite 700, Washington, value to warrant its continued preser-
DC 20006. The letter should clearly vation by the United States govern-
identify the corrections desired. In ment, or for evaluation by the Archi-
most circumstances, an edited copy of vist of the United States, or his or her
the record will be acceptable for this designee, to determine whether the
purpose. record has such value.
105
§ 200.11 4 CFR Ch. II (1–1–11 Edition)
(7) To another agency or to an instru- § 200.11 Maintaining records of disclo-

mentality of any governmental juris- sure.
diction within or under the control of (a) The Board shall maintain a log
the United States for a civil or crimi- containing the date, nature, and pur-
nal law enforcement activity, if the ac- poses of each disclosure of a record to
tivity is authorized by law, and if the any person or agency. Such accounting
head of the agency or instrumentality also shall contain the name and ad-
has made a written request to the dress of the person or agency to whom
Board for such records specifying the or to which each disclosure was made.
particular part desired and the law en- This log will not include disclosures
forcement activity for which the record made to Board employees or agents in
is sought. The Board also may disclose the course of their official duties or
such a record to a law enforcement pursuant to the provisions of the Free-
agency on its own initiative in situa- dom of Information Act (5 U.S.C. 552).
tions in which criminal conduct is sus-
(b) An accounting of each disclosure
pected, provided that such disclosure
shall be retained for at least five years
has been established as a routine use,
after the accounting is made or for the
or in situations in which the mis-
life of the record that was disclosed,
conduct is directly related to the pur-
whichever is longer.
pose for which the record is main-
tained. (c) The Board shall make the ac-
(8) To a person pursuant to a showing counting of disclosure of a record per-
of compelling circumstances affecting taining to an individual available to
the health or safety of an individual if, that individual at his or her request.
upon such disclosure, notification is Such a request should be made in ac-
transmitted to the last known address cordance with the procedures set forth
of such individual. in § 200.5. This paragraph (c) does not
(9) To either House of Congress, or, to apply to disclosure made for law en-
the extent of matters within its juris- forcement purposes under 5 U.S.C.
diction, any committee or sub- 552a(b)(7) and § 200.10(a)(7).
committee thereof, any joint com- § 200.12 Notification of systems of Pri-
mittee of Congress or subcommittee of vacy Act records.
any such joint committee.
(10) To the Comptroller General, or (a) Public notice. The Board periodi-
any of his or her authorized representa- cally reviews its systems of records and
tives, in the course of the performance will publish information about any sig-
of official duties of the Government nificant additions or changes to those
Accountability Office. systems in the FEDERAL REGISTER. In-
(11) Pursuant to an order of a court of formation about systems of records
competent jurisdiction. In the event maintained by other agencies that are
that any record is disclosed under such in the temporary custody of the Board
compulsory legal process, the Board will not be published. In addition, the
shall make reasonable efforts to notify Office of the Federal Register bienni-
the subject individual after the process ally compiles and publishes all systems
becomes a matter of public record. of records maintained by all federal
(12) To a consumer reporting agency agencies, including the Board.
in accordance with 31 U.S.C. 3711(e). (b) At least 30 days before publishing
(b) Before disseminating any record additions or changes to the Board’s
about any individual to any person systems of records, the Board will pub-
other than a Board employee, the lish a notice of intent to amend, pro-
Board shall make reasonable efforts to viding the public with an opportunity
ensure that the records are, or at the to comment on the proposed amend-
time they were collected, accurate, ments to its systems of records in the
complete, timely, and relevant. This FEDERAL REGISTER.
paragraph (b) does not apply to dis-
seminations made pursuant to the pro- § 200.13 Privacy Act training.
visions of the Freedom of Information (a) The Board shall ensure that all
Act (5 U.S.C. 552) and paragraph (a)(2) persons involved in the design, develop-
of this section. ment, operation, or maintenance of
106
any Board systems of records are in- shall be permitted only to the indi-
formed of all requirements necessary vidual to whom the record pertains or
to protect the privacy of individuals. upon his or her written request.
The Board shall ensure that all em- (4) The Board shall ensure that all
ployees having access to records re- persons whose duties require access to
ceive adequate training in their protec- and use of records contained in a sys-
tion and that records have adequate tem of records are adequately trained
and proper storage with sufficient secu- to protect the security and privacy of
rity to ensure their privacy. such records.
(b) All employees shall be informed (5) The disposal and destruction of
of the civil remedies provided under 5 identifiable personal data records shall
U.S.C. 552a(g)(1) and other implications be done by shredding and in accordance
of the Privacy Act and of the fact that with rules promulgated by the Archi-
the Board may be subject to civil rem- vist of the United States.
edies for failure to comply with the (b) Automated systems. (1) Identifiable
provisions of the Privacy Act and the personal information may be processed,
regulations in this part. stored, or maintained by automated
data systems only where facilities or
§ 200.14 Responsibility for maintaining conditions are adequate to prevent un-
adequate safeguards. authorized access to such systems in
The Board has the responsibility for any form.
maintaining adequate technical, phys- (2) Access to and use of identifiable
ical, and security safeguards to prevent personal data associated with auto-
unauthorized disclosure or destruction mated data systems shall be limited to
of manual and automated records sys- those persons whose duties require
tems. These security safeguards shall such access. Proper control of personal
apply to all systems of records in data in any form associated with auto-
which identifiable personal data are mated data systems shall be main-
processed or maintained, including all tained at all times, including mainte-
reports and output from such systems nance of accountability records show-
of records that contain identifiable ing disposition of input and output doc-
personal information. Such safeguards uments.
must be sufficient to prevent negligent, (3) All persons whose duties require
accidental, or unintentional disclosure, access to processing and maintenance
modification, or destruction of any per- of identifiable personal data and auto-
sonal records or data; must minimize, mated systems shall be adequately
to the extent practicable, the risk that trained in the security and privacy of
skilled technicians or knowledgeable personal data.
persons could improperly obtain access (4) The disposal and disposition of
to modify or destroy such records or identifiable personal data and auto-
data; and shall further ensure against mated systems shall be done by shred-
such casual entry by unskilled persons ding, burning, or, in the case of elec-
without official reasons for access to tronic records, by degaussing or by
such records or data. overwriting with the appropriate secu-
(a) Manual systems. (1) Records con- rity software, in accordance with regu-
tained in a system of records as defined lations of the Archivist of the United
in this part may be used, held, or States or other appropriate authority.
stored only where facilities are ade-
quate to prevent unauthorized access § 200.15 Systems of records covered by
by persons within or outside the Board. exemptions.
(2) Access to and use of a system of The Board currently has no exempt
records shall be permitted only to per- systems of records.
sons whose duties require such access
to the information for routine uses or § 200.16 Mailing lists.
for such other uses as may be provided The Board shall not sell or rent an
in this part. individual’s name and/or address unless
(3) Other than for access by employ- such action is specifically authorized
ees or agents of the Board, access to by law. This section shall not be con-
records within a system of records strued to require the withholding of
107
§ 200.17 4 CFR Ch. II (1–1–11 Edition)
names and addresses otherwise per- ject individual may or may not be
mitted to be made public. practical in a criminal and/or civil in-
vestigation.
§ 200.17 Exemptions. (5) From subsection (e)(3) because
(a) General policy. The Privacy Act supplying an individual with a form
permits an agency to exempt certain containing a Privacy Act Statement
types of systems of records from some would tend to inhibit cooperation by
of the Privacy Act’s requirements. It is many individuals involved in a crimi-
the policy of the Board to exercise au- nal and/or civil investigation. The ef-
thority to exempt systems of records fect would be somewhat adverse to es-
only in compelling cases. tablished investigative methods and
(b) Specific systems of records exempted techniques.
under (j)(2) and (k)(2). The Board ex- (6) From subsection (e)(4)(G)–(I) be-
empts the RATB Investigative Files cause this system of records is exempt
(RATB–11) system of records from the from the access provisions of sub-
following provisions of 5 U.S.C. 552a: section (d).
(1) From subsection (c)(3) because the (7) From subsection (e)(5) because the
release of accounting of disclosure requirement that records be main-
would inform a subject that he or she tained with attention to accuracy, rel-
is under investigation. This informa- evance, timeliness, and completeness
tion would provide considerable advan- would unfairly hamper the investiga-
tage to the subject in providing him or tive process. It is the nature of law en-
her with knowledge concerning the na- forcement for investigations to un-
ture of the investigation and the co-
cover the commission of illegal acts at
ordinated investigative efforts and
diverse stages. It is frequently impos-
techniques employed by the cooper-
sible to determine initially what infor-
ating agencies. This would greatly im-
mation is accurate, relevant, timely,
pede the Board’s criminal law enforce-
and least of all complete. With the pas-
ment duties.
sage of time, seemingly irrelevant or
(2) From subsection (c)(4) and (d) be-
untimely information may acquire new
cause notification would alert a subject
significance as further investigation
to the fact that an open investigation
brings new details to light.
on that individual is taking place, and
might weaken the ongoing investiga- (8) From subsection (e)(8) because the
tion, reveal investigatory techniques, notice requirements of this provision
and place confidential informants in could present a serious impediment to
jeopardy. law enforcement by revealing inves-
(3) From subsection (e)(1) because the tigative techniques, procedures, and
nature of the criminal and/or civil in- existence of confidential investiga-
vestigative function creates unique tions.
problems in prescribing a specific pa- (9) From subsection (f) because the
rameter in a particular case with re- agency’s rules are inapplicable to those
spect to what information is relevant portions of the system that are exempt
or necessary. Also, due to the Board’s and would place the burden on the
close working relationship with other agency of either confirming or denying
Federal, state and local law enforce- the existence of a record pertaining to
ment agencies, information may be re- a requesting individual, which might in
ceived which may relate to a case itself provide an answer to that indi-
under the investigative jurisdiction of vidual relating to an ongoing inves-
another agency. The maintenance of tigation. The conduct of a successful
this information may be necessary to investigation leading to the indictment
provide leads for appropriate law en- of a criminal offender precludes the ap-
forcement purposes and to establish plicability of established agency rules
patterns of activity which may relate relating to verification of record, dis-
to the jurisdiction of other cooperating closure of the record to that individual,
agencies. and record amendment procedures for
(4) From subsection (e)(2) because this record system.
collecting information to the fullest (10) For comparability with the ex-
extent possible directly from the sub- emption claimed from subsection (f),
108
the civil remedies provisions of sub- from the access provisions of sub-
section (g) must be suspended for this section (d).
record system. Because of the nature of (5) From subsection (f) because the
criminal investigations, standards of agency’s rules are inapplicable to those
accuracy, relevance, timeliness, and portions of the system that are exempt
completeness cannot apply to this and would place the burden on the
record system. Information gathered in agency of either confirming or denying
an investigation is often fragmentary, the existence of a record pertaining to
and leads relating to an individual in a requesting individual might in itself
the context of one investigation may provide an answer to that individual
instead pertain to a second investiga- relating to an on-going investigation.
tion. The conduct of a successful investiga-
(c) Specific systems of records exempted tion leading to the indictment of a
under (k)(2) and (k)(5). The Board ex- criminal offender precludes the appli-
empts the RATB Fraud Hotline Pro- cability of established agency rules re-
gram Files (RATB–12) system of lating to verification of record, disclo-
records from the following provisions sure of the record to that individual,
of 5 U.S.C. 552a: and record amendment procedures for
(1) From subsection (c)(3) because this record system.
disclosures from this system could [75 FR 37287, June 29, 2010]
interfere with the just, thorough and
timely resolution of the complaint or PART 201—PUBLIC INFORMATION
inquiry, and possibly enable individ-
uals to conceal their wrongdoing or
AND REQUESTS
mislead the course of the investigation
Sec.
by concealing, destroying or fabri- 201.1 Scope.
cating evidence or documents. 201.2 Definitions.
(2) From subsection (d) because dis- 201.3 Publicly available documents and
closures from this system could inter- electronic reading room.
fere with the just, thorough and timely 201.4 Board records exempt from public dis-
resolution of the complaint or inquiry, closure.
201.5 Requests for Board records.
and possibly enable individuals to con-
201.6 Responsibility, form, and content of
ceal their wrongdoing or mislead the responses.
course of the investigation by con- 201.7 Timing of responses to requests.
cealing, destroying or fabricating evi- 201.8 Fees.
dence or documents. Disclosures could 201.9 Restrictions on charging fees.
also subject sources and witnesses to 201.10 Notice of anticipated fees.
harassment or intimidation which 201.11 Requirements for waiver or reduction
of fees.
jeopardize the safety and well-being of 201.12 Denials.
themselves and their families. 201.13 Business information.
(3) From subsection (e)(1) because the 201.14 Appeals.
nature of the investigatory function 201.15 Preservation of records.
creates unique problems in prescribing 201.16 Other rights and services.
specific parameters in a particular case 201.17 How to track a FOIA request.
as to what information is relevant or AUTHORITY: 5 U.S.C. 301, 5 U.S.C. 552 as
necessary. Due to close working rela- amended; Executive Order 12600, 3 CFR, 1987
tionships with other Federal, state and Comp., p. 235.
local law enforcement agencies, infor- SOURCE: 74 FR 60132, Nov. 20, 2009, unless
mation may be received which may re- otherwise noted.
late to a case under the investigative
jurisdiction of another government § 201.1 Scope.
agency. It is necessary to maintain This part sets forth the policies and
this information in order to provide procedures of the Recovery Account-
leads for appropriate law enforcement ability and Transparency Board
purposes and to establish patterns of (Board) regarding public access to doc-
activity which may relate to the juris- uments under the Freedom of Informa-
diction of other cooperating agencies. tion Act (FOIA or the Act), 5 U.S.C.
(4) From subsection (e)(4)(G)–(H) be- 552. The provisions in the Act shall
cause this system of records is exempt take precedence over any part of the
109
§ 201.2 4 CFR Ch. II (1–1–11 Edition)
Board’s regulations in conflict with the (g) Days—Standard working days, ex-
Act. This part gives the procedures the cluding weekends and federal holidays.
public may use to inspect and obtain
copies of Board records under the § 201.3 Publicly available documents
FOIA, including administrative proce- and electronic reading room.
dures which must be exhausted before a (a) Many Board records are available
requestor invokes the jurisdiction of an electronically at the Board’s Web site
appropriate United States District (http://www.recovery.gov).
Court for the Board’s failure to respond (b) Records available electronically
to a proper request within the statu- on the Board’s Web site include:
tory time limits, for a denial of Board (1) The rules and regulations of the
records or challenges to the adequacy Board.
of a search, or for denial of fee waiver. (2) Statements of policy adopted by
the Board.
§ 201.2 Definitions. (3) Board reports to the President
For words used in this document, un- and Congress, including the Commit-
less the context indicates otherwise, tees on Appropriations of the Senate
singular includes the plural, plural in- and House of Representatives.
cludes the singular, present tense in- (4) Congressional Testimony of the
cludes the future tense, and words of Chairman of the Board.
one gender include the other gender. (5) Biographical information about
(a)(1) Agency records—Materials that the Chairman and other Board mem-
are in the control of the Board and as- bers.
sociated with Board business, includ- (6) Copies of records frequently re-
ing: quested and released in response to
(i) Materials produced by the Board. FOIA requests.
(c) The cost of copying information
(ii) Materials produced by staff for
available in the Board office shall be
the Board.
imposed in accordance with the provi-
(iii) Materials distributed by pre-
sions of § 201.8.
senters at a Board meeting or Board
Committee meeting. § 201.4 Board records exempt from
(2) All references to records include public disclosure.
the entire record and/or any part of the 5 U.S.C. 552 provides that the require-
record. ments of the FOIA do not apply to
(b) Board—The Recovery Account- matters that are:
ability and Transparency Board. (a) Specifically authorized under the
(c) Chairman—The Chairman of the criteria established by an executive
Board is designated or appointed by the order to be kept secret in the interest
President. of national defense or foreign policy
(d) Designated FOIA Officer—The per- and are in fact properly classified pur-
son designated to administer the suant to such an executive order.
Board’s activities in regard to the reg- (b) Related solely to the internal per-
ulations in this part. The FOIA Officer sonnel rules and practices of the Board.
shall be: (c) Specifically exempted from dis-
(1) The Board officer having custody closure by another federal statute, pro-
of, or responsibility for, agency records vided that such statute:
in the possession of the Board. (1) Requires that records are with-
(2) The Board officer having responsi- held from the public in such a manner
bility for authorizing or denying pro- that leaves no discretion on the issue;
duction of records from requests filed or
under the FOIA. (2) Establishes criteria for with-
(e) Executive Director—The chief oper- holding or refers to particular types of
ating officer of the Board. matters to be withheld.
(f) Member—An individual appointed (d) Trade secrets, and commercial or
to serve on the Board pursuant to Title financial information obtained from a
XV, Subtitle B of the American Recov- person and privileged or confidential.
ery and Reinvestment Act of 2009 (Pub. (e) Interagency or intra-agency

L. 111–5). memoranda or letters that would not
110
be available by law to a party other (1) Write: FOIA Officer, Recovery Ac-
than an agency in litigation with the countability and Transparency Board,
Board. 1717 Pennsylvania Avenue, NW., Suite
(f) Personnel, medical, or similar 700, Washington, DC 20006;
files that disclosing would constitute a (2) Send a request via e-mail at
clearly unwarranted invasion of per- FOIA@ratb.gov; or
sonal privacy. (3) Fax: (202) 254–7970.
(g) Records or information compiled (b) When requesting records under
for law enforcement purposes, but only this section you must state, in writing:
to the extent that the production of (1) Your full name,
such law enforcement records of infor- (2) Address,
mation:
(3) Telephone number, and
(1) Could reasonably be expected to
(4) At your option, electronic mail
interfere with enforcement pro-
address.
ceedings;
(c) When making a request for
(2) Would deprive a person of a right
records about a person, Privacy Act
to a fair trial or an impartial adjudica-
tion; regulations also may apply. Please
check the regulations for additional re-
quirements before submitting a re-
constitute an unwarranted invasion of
personal privacy; quest. When making a request for
records about someone other than
yourself, you must include either:
disclose the identity of any confiden-
tial source, including a state, local, or (1) Written authorization signed by
foreign agency or authority, or any pri- the person permitting you to see the
vate institution which furnished infor- records; or
mation on a confidential basis, and in (2) Proof that the individual is de-
the case of a record or information ceased (e.g., a death certificate or obit-
compiled by a criminal law enforce- uary).
ment agency in the course of a crimi- (d) A request will be considered re-
nal investigation or by an agency con- ceived for purposes of § 201.7 on the date
ducting a lawful security intelligence that it is received by the Board’s FOIA
investigation, information furnished by office. For prompt handling, write
a confidential source; ‘‘Freedom of Information Act Request’’
(5) Would disclose techniques and on the letter and envelope or in the
procedures for law enforcement inves- subject line of the e-mail request or
tigations or prosecutions, or would dis- fax.
close guidelines for law enforcement (e) Each request must clearly de-
investigations or prosecutions if such scribe the desired records in sufficient
disclosure could reasonably be ex- detail to enable Board personnel to lo-
pected to risk circumvention of the cate them with reasonable effort. Re-
law; or sponse to requests may be delayed if
(6) Could reasonably be expected to the records are not clearly described.
endanger the life or physical safety of (f) Whenever possible, requests
any individual. should include specific information
(h) Contained in or related to exam- about each record sought, such as date,
ination, operating, or condition re- title or name, author, recipient, and
ports, prepared by, on behalf of, or for subject.
the use of an agency responsible for the (g) If the FOIA Officer determines
regulation or supervision of financial that the request does not clearly de-
institutions. scribe the records sought, he or she
(i) Geological and geophysical infor- will either advise you of the additional
mation and data, including maps, con- information needed to locate the
cerning wells. record or otherwise state why the re-
quest is insufficient. You will then be
§ 201.5 Requests for Board records. given the opportunity to provide addi-
(a) To request Board records, you tional information or to modify your

may: request.
111
§ 201.6 4 CFR Ch. II (1–1–11 Edition)
(h) Submitting a FOIA request shall sponses only to those parts of the re-
be considered a commitment by the request not referred.
questor to pay applicable fees required (e) Agreements on referrals. The Board
under § 201.8 unless the requestor seeks may make agreements with other
a waiver of fees. When making a re- agencies to eliminate the need for re-
quest, you may specify a willingness to ferrals for particular types of records.
pay fees up to a specific amount.
(i) The FOIA does not require the § 201.7 Timing of responses to re-
Board to: quests.
(1) Compile or create records solely (a) General. The Board shall normally
for the purpose of satisfying a request respond to requests in the order of
for records. their receipt.
(2) Provide records not yet in exist- (b) Acknowledgement of requests. On
ence, even if such records may be ex- receipt of a request, the Board shall
pected to come into existence at some send an acknowledgement letter or an
time in the future. e-mail confirming the requestor’s
(3) Restore records destroyed or oth- agreement to pay fees under § 201.8 and
erwise disposed of, except that the providing a request number for future
FOIA Officer must notify the requestor reference.
that the records have been destroyed or (c) Time limits for responding to FOIA
otherwise disposed of. requests. The Board shall make an ini-
tial determination to grant or deny a
§ 201.6 Responsibility, form, and con- request for records within 20 days (ex-
tent of responses. cluding Saturday, Sunday and holi-
The Board’s Executive Director or days) after the date of receipt of the re-
his/her designated FOIA Officer is au- quest, as described in § 201.5(d), except
thorized to grant or deny any request as stated in paragraph (f) of this sec-
for a record and determine appropriate tion. Once the Board determines
fees. When determining which records whether it can grant a request entirely
are responsive to a request, the Board or in part, it shall notify the requestor
will include only records in its posses- in writing. The Board shall advise the
sion as of the date of the request. requestor of any fees to be charged
(a) If no records are responsive to the under § 201.8 and shall disclose records
request, the FOIA Officer will notify promptly on payment of the fees.
the requestor in writing. Records disclosed in part shall be
(b) When the FOIA Officer denies a marked or annotated to show the
request in whole or in part, he/she will amount of information deleted unless
notify the requestor in writing. The re- doing so would harm an interest pro-
sponse will be signed by the FOIA Offi- tected by an applicable exemption. The
cer and will include: location of the information deleted
(1) The name and title or position of also shall be indicated on the record
the person making the denial; when technically feasible.
(2) A brief statement of the reasons (d) Unusual circumstances. (1) If the
for the denial, including the FOIA ex- statutory time limits for processing a
emption(s) that the FOIA Officer has request cannot be met because of ‘‘un-
relied on in denying the request; and usual circumstances’’ as defined in the
(3) A statement that the denial may FOIA (5 U.S.C. 552(6)(B)(iii)), the Board
be appealed under § 201.14 and a descrip- shall promptly notify the requestor in
tion of the requirements of that sec- writing, explaining the circumstances
tion. and giving the date by which the re-
(c) Referrals. When a request for a quest can be completed or if the Board
record not created by the Board is re- cannot complete the request. If the ex-
ceived, the Board shall refer the re- tension is for more than 10 working
questor to the issuing agency in writ- days, the Board shall provide the re-
ing, providing the address of the agen- questor with an opportunity to:
cy contact and the section(s) referred. (i) Modify the request so that it can
(d) Timing of responses to requests sent be processed within the time limit; or
to other agencies. The Board shall pro- (ii) Arrange an alternative time pe-
vide, within the FOIA deadline, re- riod for processing the original request.
112
(2) If the Board believes that multiple § 201.8 Fees.

requests submitted by a requestor or (a) General. The Board shall charge
by requestors acting in concert con- for processing requests under the FOIA
stitute a single request that would oth- in accordance with paragraph (c) of
erwise involve unusual circumstances, this section, except where fees are lim-
and if the requests involve clearly re- ited under § 201.9 or where a waiver or
lated matters, they may be aggregated. reduction of fees is granted under
Multiple requests involving unrelated § 201.11. Fees must be paid before the
matters will not be aggregated. copies of records are sent. Fees may be
(e) Expedited processing. (1) Requests paid by check or money order payable
and appeals shall be taken out of order to the Treasury of the United States.
and given expedited processing when- (b) Definitions for this section. (1) Com-
ever it is determined that they involve: mercial use request—A request from, or
(i) Circumstances that could reason- on behalf of, a person who seeks infor-
ably be expected to pose an imminent mation for a purpose that furthers his/
threat to the life or physical safety of her commercial, trade, or profit inter-
an individual; or ests including furthering those inter-
(ii) An urgency to inform the public ests through litigation. The Board
about an actual or alleged activity if shall try to determine the use to which
made by a person primarily engaged in a record will be put. When the Board
disseminating information. believes that a request is for commer-
(2) Requests for expedited processing cial use either because of the nature of
may be made either at the time of the the request or because the Board has
initial request or at a later time. cause to doubt the stated use, the
(3) Requests for expedited processing Board shall ask the requestor for clari-
must include a statement explaining in fication.
detail the basis for requesting expe- (2) Direct costs—Expenses that the
dited processing. For example, a re- Board incurs in searching for, dupli-
questor under § 201.8 must establish cating, and reviewing records in re-
that his/her professional activity is sponse to a request. Direct costs in-
news reporting, although it need not be clude the full salary of the employee
his/her sole occupation. The requestor performing the work and the cost of
also must establish a particular ur- duplication of the records. Overhead
gency to inform the public about gov- expenses, such as the cost of space,
ernment activity involved in the re- heating, and lighting, are not included.
quest, beyond the public’s right to (3) Duplication—Making a copy of a
know about government activity gen- record or the information in the
erally. record, to respond to a request. Copies
(4) Within 10 calendar days of receipt can be in paper, electronic, or other
of a request for expedited processing, format. The Board shall honor a re-
the Board shall decide whether to questor’s preference for format if the
grant the request and notify the re- record is readily reproducible in that
questor of its decision. If a request for format at a reasonable cost.
expedited treatment is granted, the re- (4) Educational institution—A public
quest shall be processed as soon as or private undergraduate, graduate,
practicable. If a request for expedited professional or vocational school that
processing is denied, an appeal of that has a program of scholarly research.
decision shall be acted on expedi- For a request to be in this category, a
tiously. requestor must show that the request
(f) Tolling of time limits. (1) The Board is authorized by and made under the
may toll the 20-day time period to: auspices of the qualifying institution
(i) Make one request for additional and that the records will be used for
information from the requester; or scholarly research.
(ii) Clarify the applicability or (5) Noncommercial scientific institu-
amount of any fees, if necessary, with tion—An institution that is not oper-
the requester. ated on a commercial basis, as defined
(2) The tolling period ends upon the in paragraph (b)(1) of this section and
Board’s receipt of information from the is operated solely for conducting sci-
requester or resolution of the fee issue. entific research that does not promote
113
§ 201.9 4 CFR Ch. II (1–1–11 Edition)
any particular product or industry. For the record(s) located are withheld as
a request to be in this category, the re- exempt from disclosure.
questor must show that the request is (ii) For each quarter hour spent by
authorized and made under the aus- clerical personnel in searching for and
pices of the qualifying institution and retrieving a requested record, the fee
that the records will be used for fur- will be $5. If a search and retrieval re-
ther scientific research. quires the use of professional per-
(6) Representative of the news media— sonnel, the fee will be $8 for each quar-
Any person who, or entity that, gath- ter hour. If the time of managerial per-
ers information of potential interest to sonnel is required, the fee will be $10
a segment of the public, uses editorial for each quarter hour.
skills to turn the raw materials into a (iii) For computer searches for
distinct work, and distributes that records, requestors will be charged the
work to an audience. A freelance jour- direct costs of conducting the search
nalist shall be regarded as working for although certain requestors (see
a news media entity if the person can § 201.9(a)) will be charged no search fee
demonstrate a solid basis for expecting and certain other requestors (see
publication through that entity, § 201.9(b)) will be entitled to two hours
whether or not the journalist is actu- of manual search time without charge.
ally employed by that entity. A publi- Direct costs include the cost of oper-
cation contract is one example of a ating a computer for the search time
basis for expecting publication that or- for requested records and the operator
dinarily would satisfy this standard. salary for the search.
The Board may consider past publica-
(2) Duplication. Duplication fees for
tion records of the requester in deter-
paper copies of a record will be 10 cents
mining whether he or she qualifies as a
per page for black and white and 20
‘‘representative of the news media.’’
cents per page for color. For all other
(7) Review—Examining a record to de-
forms of duplication, the Board shall
termine whether any part of it is ex-
charge the direct costs of producing
empt from disclosure, and processing a
the copy. All charges are subject to the
record for disclosure. Review costs are
limitations of §§ 201.9 and 201.11.
recoverable even if a record is not dis-
closed. Review time includes time (3) Review. When a commercial-use
spent considering any formal objection request is made, review fees shall be
to disclosure made by a business sub- charged as stated in paragraph (c)(1) of
mitter under § 201.13 but does not in- this section. These fees apply only to
clude time spent resolving general the initial record review, when the
legal or policy issues regarding the ap- Board determines whether an exemp-
plication of exemptions. tion applies to a particular record.
(8) Search—The process of looking for Charges shall not be imposed for review
and retrieving records, including page- at the administrative appeal level if an
by-page or line-by-line identification of exemption is applied. However, records
information within records and reason- withheld under an exemption that is
able efforts to locate and retrieve in- subsequently determined not to apply
formation from records maintained in may be reviewed again to determine
electronic form. The Board shall ensure whether any other exemption not pre-
that searches are done in the most effi- viously considered applies. The costs of
cient and least expensive way that is that review shall be charged. All re-
reasonably possible. view fees shall be charged at the same
(c) Fees. In responding to FOIA re- rates as those charged in paragraph
quests, the Board shall charge the fol- (c)(1) of this section.
lowing fees unless a waiver or a reduc-
§ 201.9 Restrictions on charging fees.
tion of fees has been granted under
§ 201.11. (a) When determining search or re-
(1) Search. (i) Search fees shall be view fees:
charged for all requests subject to the (1) No search fee shall be charged for
limitations of § 201.9. The Board may requests by educational institutions,
charge for time spent searching even if noncommercial scientific institutions,

no responsive record is located, or if or representatives of the news media.
114
(2) The Board shall provide without ceived by the Board. The Board shall
charge to all but commercial users: follow the provisions of the Debt Col-
(i) The first 100 pages of black and lection Act of 1982 (Pub. L. 97–365, 96
white duplication (or the cost equiva- Stat. 1749), as amended.
lent); and (d) Aggregating requests. If the Board
(ii) The first two hours of search by a reasonably believes that a requestor or
clerical staff member (or the cost a group of requestors acting together is
equivalent). trying to divide a request into a series
(3) When the total fee for a request of smaller requests for the purpose of
will be $14.00 or less for any request, no avoiding fees, the Board may aggregate
fee shall be charged. the requests and charge accordingly.
(b) The Board will not assess search The Board shall assume that multiple
and/or duplication fees, as applicable, if requests of the same type made within
it fails to respond to a requester’s a 30-day period have been made in
FOIA request within the time limits order to avoid fees. If requests are sep-
specified under 4 CFR 201.7, and no arated by a longer period, the Board
‘‘unusual’’ circumstances (as defined in shall aggregate them only if there is a
5 U.S.C. 552(a)(6)(B) and 4 CFR 201.7(d)) solid basis for determining that aggre-
or ‘‘exceptional’’ circumstances (as de- gation is warranted. Multiple requests
fined in 5 U.S.C. 552(a)(6)(C)) apply to involving unrelated matters shall not
the processing of the request. be aggregated.
§ 201.10 Notice of anticipated fees. (e) Advance payments. When a re-
questor has previously failed to pay
(a) General. The Board shall advise
promptly a properly charged FOIA fee
the requestor in writing of any applica-
to the Board or another agency, the
ble fees. If only a part of the fee can be
Board shall require proof that full pay-
estimated readily, the Board shall ad-
ment has been made to that agency be-
vise the requestor that this may be
fore it begins to process that reques-
only a part of the total fee. After the
tor’s FOIA request. The Board shall
requestor has been sent a fee estimate,
also require advance payment of the
the request shall not be considered re-
full amount of the anticipated fee.
ceived until the requestor makes a
When advance payment is required, the
firm commitment to pay the antici-
request is not considered received until
pated total fee. Any such agreement
must be made by the requestor in writ- payment has been made.
ing and must be received within 60 days § 201.11 Requirements for waiver or
of the Board’s notice. If the requestor reduction of fees.
does not provide a firm commitment to
pay the anticipated fee within 60 days (a) Fees for processing your request
of the notice, the request shall be may be waived if you meet the criteria
closed. The requestor may be given an listed in paragraph (b) of this section.
opportunity to work with the Board to The burden is on you to justify entitle-
change the request and lower the cost. ment to a fee waiver. Requests for fee
(b) Charges for other services. When waivers are decided on a case-by-case
the Board chooses as a matter of ad- basis. The fact that you have received
ministrative discretion to provide a a fee waiver in the past does not mean
special service, such as certifying that you are automatically entitled to a fee
records are true copies or sending them waiver for every request you may sub-
by other than ordinary mail, the Board mit, because the essential element of
shall pay the costs of providing the any fee waiver determination is wheth-
services unless previous arrangements er the release of the particular docu-
have been made with the requestor. ments sought in the request will likely
(c) Charging interest. The Board may contribute significantly to public un-
charge interest on any unpaid bill derstanding of the operations or activi-
starting on the 31st day following the ties of the government. The Board will
date of billing. Interest charges shall rely on the fee waiver justification you
be assessed at the rate provided in 31 have submitted in your request letter.
U.S.C. 3717 and shall accrue from the If you do not submit sufficient jus-
date of the billing until payment is re- tification, your fee waiver request will
115
§ 201.12 4 CFR Ch. II (1–1–11 Edition)
be denied. The Board may, at its dis- (3) An estimate of the volume of
cretion, communicate with you to re- records withheld, in number of pages or
quest additional information if nec- in some other reasonable form of esti-
essary. However, the Board must make mation. This estimate does not need to
a determination on the fee waiver re- be provided if it would harm an inter-
quest within the statutory time limit, est protected by an applicable exemp-
even if the Board has not received such tion.
additional information. In certain cir- (4) A statement that the denial may
cumstances, a partial fee waiver may be appealed under § 201.14 and a descrip-
be appropriate, if some, but not all, of tion of the requirements of § 201.14.
the requested records are likely to con-
tribute significantly to public under- § 201.13 Business information.
standing of the operations and activi- (a) In general. Business information
ties of the government. obtained by the Board from a sub-
(b) The Board will waive fees (in mitter shall be disclosed under the
whole or part) if disclosure of all or FOIA only under this section.
part of the information is in the public
(b) Definitions. For purposes of this
interest because its release:
section:
(1) Is likely to contribute signifi-
cantly to public understanding of the (1) Business information—commer-
operations or activities of the govern- cial or financial records obtained by
ment; and the Board that may be protected from
(2) Is not primarily in the commer- disclosure under Exemption 4 of the
cial interest of the requester. FOIA.
(2) Submitter—any person or entity
§ 201.12 Denials. from which the Board obtains business
(a) When denying a request in any re- records, either directly or indirectly.
spect, the Board shall notify the re- The term includes but is not limited to
questor of that determination in writ- corporations and state, local, tribal,
ing. The types of denials include: and foreign governments.
(1) Denials of requests, including a (c) Designation of business information.
determination: Submitters of business information
(i) To withhold any requested record shall designate any part of the record
in whole or in part; considered to be protected from disclo-
(ii) That a requested record does not sure under Exemption 4 of the FOIA by
exist or cannot be located; appropriately marking the material.
(iii) That a record is not readily re- This may be done either at the time
producible in the form or format the record is submitted or at a reason-
sought; able time thereafter. This designation
(iv) That what has been requested is lasts for 10 years after submittal unless
not a record subject to the FOIA; and the submitter requests and provides
(v) That the material requested is justification for a longer period.
not a Board record (e.g., material pro- (d) Notice to submitters. The Board
duced by another agency or organiza- shall provide a business submitter with
tion). prompt written notice of any FOIA re-
(2) A determination on any disputed quest or appeal that seeks its business
fee matter, including a denial of a re- information under paragraph (e) of this
quest for a fee waiver. section, except as provided in para-
(3) A denial of a request for expedited graph (h) of this section, to give the
processing. submitter an opportunity to object to
(b) The denial letter shall be signed that disclosure under paragraph (f) of
by the FOIA Officer or designee and this section. The notice shall either de-
shall include all of the following: scribe the records requested or include
(1) The name and title of the person copies of the records.
responsible for the denial. (e) Required notice. The Board shall
(2) A brief statement of the reason(s) give notice of a FOIA request seeking
for the denial, including any FOIA ex- business information when:
emptions applied in denying the re- (1) The submitter has designated that
quest. the information is considered protected
116
from disclosure under Exemption 4 of (3) Disclosure of the information is

the FOIA; or required by another statute or by a
(2) The Board has reason to believe regulation issued in accordance with
that the information may be protected Executive Order 12600 (3 CFR, 1987
from disclosure under Exemption 4 of Comp., p. 235); or
the FOIA. (4) The objection made by the sub-
(f)(1) Objecting to disclosure. A submitter under paragraph (f) of this sec-
mitter shall have 30 days to respond to tion appears frivolous. In such a case,
the notice described in paragraph (d) of the Board shall promptly notify the
this section. If a submitter has an ob- submitter of its decision using the
jection to disclosure, it is required to guidelines in paragraph (g) of this sec-
submit a detailed written statement tion.
including: (i) Notice of FOIA lawsuit. When a re-
(i) All grounds for withholding any of questor files a lawsuit seeking to com-
the information under any exemption pel the disclosure of business informa-
of the FOIA, and tion, the Board shall promptly notify
(ii) In the case of Exemption 4, the the submitter.
reason why the information is a trade (j) Corresponding notice to requestors.
secret, commercial, or financial infor- When the Board provides a submitter
mation that is privileged or confiden- with either notice and an opportunity
tial. to object to disclosure under paragraph
(d) of this section or with its intent to
(2) If a submitter fails to respond to
disclose requested information under
the notice in paragraph (d) of this sec-
paragraph (g) of this section, the Board
tion within 30 days, the Board shall as-
also shall notify the requestor(s). When
sume that the submitter has no objec-
a submitter files a lawsuit seeking to
tion to disclosure. The Board shall not
prevent the disclosure of business in-
consider information not received by
formation, the Board shall notify the
the Board until after a disclosure deci-
requestor(s).
sion has been made. Information pro-
vided by a submitter under this para- § 201.14 Appeals.
graph might itself be subject to disclo-
sure under the FOIA. (a)(1) Appeals of adverse determina-
tions. If you are dissatisfied with the
(g) Notice of intent to disclose. The
Board’s response to your request, you
Board shall consider a submitter’s ob-
may appeal to the Board’s Executive
jections and specific grounds for non-
Director:
disclosure in deciding whether to dis-
(i) By mail to: Recovery Account-
close the business records. Whenever
ability and Transparency Board, 1717
the Board decides to disclose business
Pennsylvania Avenue, NW., Suite 700,
records over the objection of a sub-
Washington, DC 20006;
mitter, it shall give the submitter
(ii) By e-mail to: FOIA@ratb.gov; or
written notice, that will include:
(iii) By fax to: 202–254–7970.
(1) A statement of the reason(s) the (2) The appeal must be in writing and
submitter’s objections were not sus- must be received within 30 days of the
tained; date of the Board’s response. The ap-
(2) A description of the business peal letter, e-mail or fax may include
records to be disclosed; and as much or as little related informa-
(3) A specified disclosure date at a tion as you wish, as long as it clearly
reasonable time subsequent to the no- identifies the Board determination
tice. that you are appealing, including the
(h) Exceptions to notice requirements. assigned request number, if known. For
The notice requirements in paragraphs prompt handling, please mark your ap-
(d) and (g) of this section shall not peal ‘‘Freedom of Information Act Ap-
apply if: peal.’’
(1) The Board determines that the in- (b) Responses to appeals. Requestors
formation should not be disclosed; shall be notified in writing of the deci-
(2) The information has been pub- sion on the appeal. A decision affirm-
lished legally or has been officially ing an adverse determination shall in-
made available to the public; clude a statement of the reason(s) for
117
§ 201.15 4 CFR Ch. II (1–1–11 Edition)
the affirmation, including any FOIA quest(s) by contacting the FOIA Officer
exemption(s) applied, and shall include at FOIA@ratb.gov or (202) 254–7900.
the FOIA provisions for court review of
the decision. If the adverse determina- PART 202—OFFICIAL SEAL
tion is reversed or modified on appeal,
the request shall be reprocessed in ac- Sec.
cordance with that appeal decision. 202.1 Description.
(c) [Reserved] 202.2 Authority to affix seal.
(d) Denial of appeal. An adverse deter- 202.3 Prohibitions against misuse of seal.
mination by the Executive Director AUTHORITY: 5 U.S.C. 301, 18 U.S.C. 506.
shall be the final action of the Board. SOURCE: 74 FR 38503, Aug. 4, 2009, unless
otherwise noted.
§ 201.15 Preservation of records.
The Board shall preserve all cor- § 202.1 Description.
respondence pertaining to the requests (a) The official seal of the Recovery
that it receives under this subpart, as Accountability and Transparency
well as copies of all requested records, Board (Board) is described as follows:
until disposition or destruction is au- The American Eagle, right facing, with
thorized by title 44 of the United left wing outstretched and pointing
States Code of the National Archives forward with right wing partially
and Records Administration’s General shown, is superimposed over a back-
Records Schedule 14. Records will not ground suggesting the American Flag;
be disposed of while they are the sub- upon a blue field, which fills back-
ject of a pending request, appeal, or ground space above the Eagle’s out-
lawsuit. stretched wing, are thirteen gold, five-
pointed stars; the lower half of the
§ 201.16 Other rights and services. background, filling the space beneath
the Eagle’s outstretched wing, is
Nothing in this part shall be con-
vertically striped in alternating colors
strued to entitle any person, as a right,
of red and gold. The entire image is cir-
to any service or to the disclosure of
cumscribed by a gold boundary with 18
any record to which such person is en-
equally spaced ‘‘gear’’ teeth; that image
titled under the FOIA.
is further encircled by a ring bearing
§ 201.17 How to track a FOIA request. the gold-colored words ‘‘RECOVERY
ACCOUNTABILITY AND TRANS-
(a) Tracking number. The Board will PARENCY’’ centered at its top, and the
issue a tracking number to all FOIA re- word ‘‘BOARD’’ is centered at its bot-
questers within 5 days of the receipt of tom and separated from the top-cen-
the request (as described in § 201.7(b)). tered words by two laurel branches to
The tracking number will be sent via its left and right.
electronic mail if the requester has (b) The Board also has developed an
provided an electronic mail address. alternate, monochromatic version of
Otherwise, the Board will mail the the seal in which the above-described
tracking number to the requester’s blue field and red-and-gold stripes are
physical address, as provided in the replaced by a white field and white-
FOIA request. and-gold stripes. A reproduction of the
(b) Status of request. FOIA requesters official seal in black and white appears
may check the status of their FOIA reas follows:
118
§ 202.2 Authority to affix seal. § 202.3 Prohibitions against misuse of

seal.
(a) The following officials of the
Board are authorized to affix the offi- (a) Falsely making, forging, counter-
cial seal (including reproductions) to feiting, mutilating, or altering the
appropriate documents, certifications, Board seal or reproduction, or know-
and other materials of the Board: The ingly using or possessing with fraudu-
Chairman and all Members, the Execu- lent intent an altered Board seal or re-
production is punishable under 18
tive Director, the General Counsel, and
U.S.C. 506.
the Directors.
(b) Any person using the Board seal
(b) The officials named in paragraph or reproduction in a manner incon-
(a) of this section may delegate this sistent with the provisions of this part
authority as appropriate. is subject to the provisions of 18 U.S.C.
1017, which states penalties for the
wrongful use of an official seal, and
other provisions of law as applicable.
119
ER04AU09.000</GPH>
FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-
ical list of agencies publishing in the CFR are included in the CFR Index and
Finding Aids volume to the Code of Federal Regulations which is published sepa-
rately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
121
Table of CFR Titles and Chapters
(Revised as of January 1, 2011)
Title 1—General Provisions
I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)
III Administrative Conference of the United States (Parts 300—399)
IV Miscellaneous Agencies (Parts 400—500)
Title 2—Grants and Agreements
SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR

GRANTS AND AGREEMENTS
I Office of Management and Budget Governmentwide Guidance for
Grants and Agreements (Parts 100—199)
II Office of Management and Budget Circulars and Guidance (200—
299)
SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND
AGREEMENTS
III Department of Health and Human Services (Parts 300— 399)
IV Department of Agriculture (Parts 400—499)
VI Department of State (Parts 600—699)
VIII Department of Veterans Affairs (Parts 800—899)
IX Department of Energy (Parts 900—999)
XI Department of Defense (Parts 1100—1199)
XII Department of Transportation (Parts 1200—1299)
XIII Department of Commerce (Parts 1300—1399)
XIV Department of the Interior (Parts 1400—1499)
XV Environmental Protection Agency (Parts 1500—1599)
XVIII National Aeronautics and Space Administration (Parts 1880—
1899)
XX United States Nuclear Regulatory Commission (Parts 2000—2099)
XXII Corporation for National and Community Service (Parts 2200—
2299)
XXIII Social Security Administration (Parts 2300—2399)
XXIV Housing and Urban Development (Parts 2400—2499)
XXV National Science Foundation (Parts 2500—2599)
XXVI National Archives and Records Administration (Parts 2600—2699)
XXVII Small Business Administration (Parts 2700—2799)
XXVIII Department of Justice (Parts 2800—2899)

XXX Department of Homeland Security (Parts 3000—3099)
123
Title 2—Grants and Agreements—Continued
Chap.
XXXI Institute of Museum and Library Services (Parts 3100—3199)

XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
Title 3—The President
I Executive Office of the President (Parts 100—199)
Title 4—Accounts
I Government Accountability Office (Parts 1—99)

II Recovery Accountability and Transparency Board (Parts 200—
299)
Title 5—Administrative Personnel
I Office of Personnel Management (Parts 1—1199)

II Merit Systems Protection Board (Parts 1200—1299)
III Office of Management and Budget (Parts 1300—1399)
V The International Organizations Employees Loyalty Board
(Parts 1500—1599)
VI Federal Retirement Thrift Investment Board (Parts 1600—1699)
VIII Office of Special Counsel (Parts 1800—1899)
IX Appalachian Regional Commission (Parts 1900—1999)
XI Armed Forces Retirement Home (Parts 2100—2199)
XIV Federal Labor Relations Authority, General Counsel of the Fed-
eral Labor Relations Authority and Federal Service Impasses
Panel (Parts 2400—2499)
XV Office of Administration, Executive Office of the President
(Parts 2500—2599)
XVI Office of Government Ethics (Parts 2600—2699)
XXI Department of the Treasury (Parts 3100—3199)
XXII Federal Deposit Insurance Corporation (Parts 3200—3299)
XXIII Department of Energy (Parts 3300—3399)
XXIV Federal Energy Regulatory Commission (Parts 3400—3499)
XXV Department of the Interior (Parts 3500—3599)
XXVI Department of Defense (Parts 3600— 3699)
XXVIII Department of Justice (Parts 3800—3899)
XXIX Federal Communications Commission (Parts 3900—3999)
XXX Farm Credit System Insurance Corporation (Parts 4000—4099)
XXXI Farm Credit Administration (Parts 4100—4199)
XXXIII Overseas Private Investment Corporation (Parts 4300—4399)

XXXIV Securities and Exchange Commission (Parts 4400—4499)
124
Title 5—Administrative Personnel—Continued
Chap.
XXXV Office of Personnel Management (Parts 4500—4599)

XL Interstate Commerce Commission (Parts 5000—5099)
XLI Commodity Futures Trading Commission (Parts 5100—5199)
XLII Department of Labor (Parts 5200—5299)
XLIII National Science Foundation (Parts 5300—5399)
XLV Department of Health and Human Services (Parts 5500—5599)
XLVI Postal Rate Commission (Parts 5600—5699)
XLVII Federal Trade Commission (Parts 5700—5799)
XLVIII Nuclear Regulatory Commission (Parts 5800—5899)
XLIX Federal Labor Relations Authority (Parts 5900—5999)
L Department of Transportation (Parts 6000—6099)
LII Export-Import Bank of the United States (Parts 6200—6299)
LIII Department of Education (Parts 6300—6399)
LIV Environmental Protection Agency (Parts 6400—6499)
LV National Endowment for the Arts (Parts 6500—6599)
LVI National Endowment for the Humanities (Parts 6600—6699)
LVII General Services Administration (Parts 6700—6799)
LVIII Board of Governors of the Federal Reserve System (Parts 6800—
6899)
LIX National Aeronautics and Space Administration (Parts 6900—
6999)
LX United States Postal Service (Parts 7000—7099)
LXI National Labor Relations Board (Parts 7100—7199)
LXII Equal Employment Opportunity Commission (Parts 7200—7299)
LXIII Inter-American Foundation (Parts 7300—7399)
LXIV Merit Systems Protection Board (Parts 7400—7499)
LXV Department of Housing and Urban Development (Parts 7500—
7599)
LXVI National Archives and Records Administration (Parts 7600—7699)
LXVII Institute of Museum and Library Services (Parts 7700—7799)
LXVIII Commission on Civil Rights (Parts 7800—7899)
LXIX Tennessee Valley Authority (Parts 7900—7999)
LXXI Consumer Product Safety Commission (Parts 8100—8199)
LXXII Special Inspector General for Iraq Reconstruction (Parts 8200—
8299)
LXXIII Department of Agriculture (Parts 8300—8399)
LXXIV Federal Mine Safety and Health Review Commission (Parts
8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 8700—8799)
LXXXII Special Inspector General for Iraq Reconstruction (Parts 9200—
9299)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland Security—Office of

Personnel Management) (Parts 9700—9799)
125
Title 5—Administrative Personnel—Continued
Chap.
XCIX Department of Defense Human Resources Management and

Labor Relations Systems (Department of Defense—Office of
Personnel Management) (Parts 9900—9999)
Title 6—Domestic Security
I Department of Homeland Security, Office of the Secretary

(Parts 0—99)
Title 7—Agriculture
SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS

0—26)
SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE
I Agricultural Marketing Service (Standards, Inspections, Mar-
keting Practices), Department of Agriculture (Parts 27—209)
II Food and Nutrition Service, Department of Agriculture (Parts
210—299)
III Animal and Plant Health Inspection Service, Department of Ag-
riculture (Parts 300—399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400—499)
V Agricultural Research Service, Department of Agriculture
(Parts 500—599)
VI Natural Resources Conservation Service, Department of Agri-
culture (Parts 600—699)
VII Farm Service Agency, Department of Agriculture (Parts 700—
799)
VIII Grain Inspection, Packers and Stockyards Administration (Fed-
eral Grain Inspection Service), Department of Agriculture
(Parts 800—899)
IX Agricultural Marketing Service (Marketing Agreements and Or-
ders; Fruits, Vegetables, Nuts), Department of Agriculture
(Parts 900—999)
X Agricultural Marketing Service (Marketing Agreements and Or-
ders; Milk), Department of Agriculture (Parts 1000—1199)
XI Agricultural Marketing Service (Marketing Agreements and Or-
ders; Miscellaneous Commodities), Department of Agriculture
(Parts 1200—1299)
XIV Commodity Credit Corporation, Department of Agriculture
(Parts 1400—1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500—1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600—
1699)
XVII Rural Utilities Service, Department of Agriculture (Parts 1700—
1799)
XVIII Rural Housing Service, Rural Business-Cooperative Service,
Rural Utilities Service, and Farm Service Agency, Depart-
ment of Agriculture (Parts 1800—2099)

XX Local Television Loan Guarantee Board (Parts 2200—2299)
126
Title 7—Agriculture—Continued
Chap.
XXVI Office of Inspector General, Department of Agriculture (Parts

2600—2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700—2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800—
2899)
XXIX Office of Energy Policy and New Uses, Department of Agri-
XXX Office of the Chief Financial Officer, Department of Agriculture
(Parts 3000—3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100—3199)
XXXII Office of Procurement and Property Management, Department
of Agriculture (Parts 3200—3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300—3399)
XXXIV National Institute of Food and Agriculture (Parts 3400—3499)
XXXV Rural Housing Service, Department of Agriculture (Parts 3500—
3599)
XXXVI National Agricultural Statistics Service, Department of Agri-
XXXVII Economic Research Service, Department of Agriculture (Parts
3700—3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800—3899)
XLI [Reserved]
XLII Rural Business-Cooperative Service and Rural Utilities Service,
Department of Agriculture (Parts 4200—4299)
L Rural Business-Cooperative Service, Rurual Housing Service,
and Rural Utilities Service, Department of Agriculture (Parts
5000—5099)
Title 8—Aliens and Nationality
I Department of Homeland Security (Immigration and Naturaliza-

tion) (Parts 1—499)
V Executive Office for Immigration Review, Department of Justice
(Parts 1000—1399)
Title 9—Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1—199)
II Grain Inspection, Packers and Stockyards Administration
(Packers and Stockyards Programs), Department of Agri-
III Food Safety and Inspection Service, Department of Agriculture

(Parts 300—599)
127
Title 10—Energy
Chap.
I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1303—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 1800—1899)
Title 11—Federal Elections
I Federal Election Commission (Parts 1—9099)

II Election Assistance Commission (Parts 9400—9499)
Title 12—Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts

1—199)
II Federal Reserve System (Parts 200—299)
III Federal Deposit Insurance Corporation (Parts 300—399)
IV Export-Import Bank of the United States (Parts 400—499)
V Office of Thrift Supervision, Department of the Treasury (Parts
500—599)
VI Farm Credit Administration (Parts 600—699)
VII National Credit Union Administration (Parts 700—799)
VIII Federal Financing Bank (Parts 800—899)
IX Federal Housing Finance Board (Parts 900—999)
XI Federal Financial Institutions Examination Council (Parts
1100—1199)
XII Federal Housing Finance Agency (Parts 1200—1299)
XIV Farm Credit System Insurance Corporation (Parts 1400—1499)
XV Department of the Treasury (Parts 1500—1599)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 1800—1899)
Title 13—Business Credit and Assistance
I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-
merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)
128
Title 14—Aeronautics and Space
Chap.
I Federal Aviation Administration, Department of Transportation

(Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200—399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 400—499)
V National Aeronautics and Space Administration (Parts 1200—
1299)
VI Air Transportation System Stabilization (Parts 1300—1399)
Title 15—Commerce and Foreign Trade
SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0—

29)
SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN
TRADE
I Bureau of the Census, Department of Commerce (Parts 30—199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV Foreign-Trade Zones Board, Department of Commerce (Parts
400—499)
VII Bureau of Industry and Security, Department of Commerce
(Parts 700—799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts
800—899)
IX National Oceanic and Atmospheric Administration, Department
of Commerce (Parts 900—999)
XI Technology Administration, Department of Commerce (Parts
1100—1199)
XIII East-West Foreign Trade Board (Parts 1300—1399)
XIV Minority Business Development Agency (Parts 1400—1499)
SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000—
2099)
SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300—2399)
Title 16—Commercial Practices
I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)
129
Title 17—Commodity and Securities Exchanges
Chap.
I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)
Title 18—Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy

(Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)
Title 19—Customs Duties
I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400—599)
Title 20—Employees’ Benefits
I Office of Workers’ Compensation Programs, Department of

Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)
III Social Security Administration (Parts 400—499)
IV Employees Compensation Appeals Board, Department of Labor
(Parts 500—599)
V Employment and Training Administration, Department of Labor
(Parts 600—699)
VI Office of Workers’ Compensation Programs, Department of
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 1000—1099)
Title 21—Food and Drugs
I Food and Drug Administration, Department of Health and

Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts
1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)
130
Title 22—Foreign Relations
Chap.
I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
IV International Joint Commission, United States and Canada
(Parts 400—499)
V Broadcasting Board of Governors (Parts 500—599)
VII Overseas Private Investment Corporation (Parts 700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency
(Parts 1200—1299)
XIII Millenium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations
Authority; and the Foreign Service Impasse Disputes Panel
(Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)
Title 23—Highways
I Federal Highway Administration, Department of Transportation

(Parts 1—999)
II National Highway Traffic Safety Administration and Federal
Highway Administration, Department of Transportation
(Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300—1399)
Title 24—Housing and Urban Development
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal
HousingCommissioner, Department of Housing and Urban De-
velopment (Parts 200—299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-

ment (Parts 400—499)
131
Title 24—Housing and Urban Development—Continued
Chap.
V Office of Assistant Secretary for Community Planning and De-

velopment, Department of Housing and Urban Development
(Parts 500—599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Section 8 Housing Assistance Programs, Section 202 Di-
rect Loan Program, Section 202 Supportive Housing for the El-
derly Program and Section 811 Supportive Housing for Persons
With Disabilities Program) (Parts 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 900—1699)
X Office of Assistant Secretary for Housing—Federal Housing
ment (Interstate Land Sales Registration Program) (Parts
1700—1799)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000—2099)
XX Office of Assistant Secretary for Housing—Federal Housing
ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
4000—4099)
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)
Title 25—Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1—

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300—399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—799)
V Bureau of Indian Affairs, Department of the Interior, and Indian
Health Service, Department of Health and Human Services
(Part 900)
VI Office of the Assistant Secretary-Indian Affairs, Department of
the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 1200—1299)
Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1—

899)
132
Title 27—Alcohol, Tobacco Products and Firearms
Chap.
I Alcohol and Tobacco Tax and Trade Bureau, Department of the

Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400—699)
Title 28—Judicial Administration
I Department of Justice (Parts 0—299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts
600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts
900—999)
XI Department of Justice and Department of State (Parts 1100—
1199)
Title 29—Labor
SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO LABOR
I National Labor Relations Board (Parts 100—199)
II Office of Labor-Management Standards, Department of Labor
(Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899)
IX Construction Industry Collective Bargaining Commission (Parts
900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499)
XIV Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of
XX Occupational Safety and Health Review Commission (Parts
2200—2499)
XXV Employee Benefits Security Administration, Department of
XXVII Federal Mine Safety and Health Review Commission (Parts
2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)
133
Title 30—Mineral Resources
Chap.
I Mine Safety and Health Administration, Department of Labor

(Parts 1—199)
II Bureau of Ocean Energy Management, Regulation, and Enforce-
ment, Department of the Interior (Parts 200—299)
IV Geological Survey, Department of the Interior (Parts 400—499)
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700—999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 1200—1299)
Title 31—Money and Finance: Treasury
SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS

0—50)
SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE
I Monetary Offices, Department of the Treasury (Parts 51—199)
II Fiscal Service, Department of the Treasury (Parts 200—399)
IV Secret Service, Department of the Treasury (Parts 400—499)
V Office of Foreign Assets Control, Department of the Treasury
(Parts 500—599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600—699)
VII Federal Law Enforcement Training Center, Department of the
VIII Office of International Investment, Department of the Treasury
(Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas-
ury—Department of Justice) (Parts 900—999)
X Financial Crimes Enforcement Network, Departmnent of the
Title 32—National Defense
SUBTITLE A—DEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE-
FENSE
XII Defense Logistics Agency (Parts 1200—1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 2000—2099)

XXI National Security Council (Parts 2100—2199)
134
Title 32—National Defense—Continued
Chap.
XXIV Office of Science and Technology Policy (Parts 2400—2499)

XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
XXVIII Office of the Vice President of the United States (Parts 2800—
2899)
Title 33—Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Corps of Engineers, Department of the Army (Parts 200—399)
IV Saint Lawrence Seaway Development Corporation, Department
of Transportation (Parts 400—499)
Title 34—Education
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU-

CATION (PARTS 1—99)
SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT
OF EDUCATION
I Office for Civil Rights, Department of Education (Parts 100—199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200—299)
III Office of Special Education and Rehabilitative Services, Depart-
ment of Education (Parts 300—399)
IV Office of Vocational and Adult Education, Department of Edu-
cation (Parts 400—499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500—599)
VI Office of Postsecondary Education, Department of Education
(Parts 600—699)
VII Office of Educational Research and Improvmeent, Department of
Education [Reserved]
XI National Institute for Literacy (Parts 1100—1199)
SUBTITLE C—REGULATIONS RELATING TO EDUCATION
XII National Council on Disability (Parts 1200—1299)
Title 35 [Reserved]
Title 36—Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1—199)

II Forest Service, Department of Agriculture (Parts 200—299)
III Corps of Engineers, Department of the Army (Parts 300—399)
IV American Battle Monuments Commission (Parts 400—499)
V Smithsonian Institution (Parts 500—599)
VI [Reserved]
VII Library of Congress (Parts 700—799)
VIII Advisory Council on Historic Preservation (Parts 800—899)

IX Pennsylvania Avenue Development Corporation (Parts 900—999)
135
Title 36—Parks, Forests, and Public Property—Continued
Chap.
X Presidio Trust (Parts 1000—1099)

XI Architectural and Transportation Barriers Compliance Board
(Parts 1100—1199)
XII National Archives and Records Administration (Parts 1200—1299)
XV Oklahoma City National Memorial Trust (Parts 1500—1599)
XVI Morris K. Udall Scholarship and Excellence in National Environ-
mental Policy Foundation (Parts 1600—1699)
Title 37—Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department of

Commerce (Parts 1—199)
II Copyright Office, Library of Congress (Parts 200—299)
III Copyright Royalty Board, Library of Congress (Parts 301—399)
IV Assistant Secretary for Technology Policy, Department of Com-
merce (Parts 400—499)
V Under Secretary for Technology, Department of Commerce
(Parts 500—599)
Title 38—Pensions, Bonuses, and Veterans’ Relief
I Department of Veterans Affairs (Parts 0—99)

II Armed Forces Retirement Home
Title 39—Postal Service
I United States Postal Service (Parts 1—999)

III Postal Regulatory Commission (Parts 3000—3099)
Title 40—Protection of Environment
I Environmental Protection Agency (Parts 1—1099)

IV Environmental Protection Agency and Department of Justice
(Parts 1400—1499)
V Council on Environmental Quality (Parts 1500—1599)
VI Chemical Safety and Hazard Investigation Board (Parts 1600—
1699)
VII Environmental Protection Agency and Department of Defense;
Uniform National Discharge Standards for Vessels of the
Armed Forces (Parts 1700—1799)
Title 41—Public Contracts and Property Management
SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS

50 Public Contracts, Department of Labor (Parts 50–1—50–999)
51 Committee for Purchase From People Who Are Blind or Severely

Disabled (Parts 51–1—51–99)
136
Title 41—Public Contracts and Property Management—Continued
Chap.
60 Office of Federal Contract Compliance Programs, Equal Employ-

ment Opportunity, Department of Labor (Parts 60–1—60–999)
61 Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 61–1—61–999)
62—100 [Reserved]
SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS
SYSTEM
101 Federal Property Management Regulations (Parts 101–1—101–99)
102 Federal Management Regulation (Parts 102–1—102–299)
103—104 [Reserved]
105 General Services Administration (Parts 105–1—105–999)
109 Department of Energy Property Management Regulations (Parts
109–1—109–99)
114 Department of the Interior (Parts 114–1—114–99)
115 Environmental Protection Agency (Parts 115–1—115–99)
128 Department of Justice (Parts 128–1—128–99)
129—200 [Reserved]
SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE-
MENT [RESERVED]
SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT
REGULATIONS SYSTEM [RESERVED]
SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM
300 General (Parts 300–1—300–99)
301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)
302 Relocation Allowances (Parts 302–1—302–99)
303 Payment of Expenses Connected with the Death of Certain Em-
ployees (Part 303–1—303–99)
304 Payment of Travel Expenses from a Non-Federal Source (Parts
304–1—304–99)
Title 42—Public Health
I Public Health Service, Department of Health and Human Serv-

ices (Parts 1—199)
IV Centers for Medicare & Medicaid Services, Department of Health
and Human Services (Parts 400—499)
V Office of Inspector General-Health Care, Department of Health
Title 43—Public Lands: Interior
SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS

1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS
I Bureau of Reclamation, Department of the Interior (Parts 200—
499)
II Bureau of Land Management, Department of the Interior (Parts

1000—9999)
137
Title 43—Public Lands: Interior—Continued
Chap.
III Utah Reclamation Mitigation and Conservation Commission

(Parts 10000—10099)
Title 44—Emergency Management and Assistance
I Federal Emergency Management Agency, Department of Home-

land Security (Parts 0—399)
IV Department of Commerce and Department of Transportation
(Parts 400—499)
Title 45—Public Welfare
SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES

(PARTS 1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE
II Office of Family Assistance (Assistance Programs), Administra-
tion for Children and Families, Department of Health and
Human Services (Parts 200—299)
III Office of Child Support Enforcement (Child Support Enforce-
ment Program), Administration for Children and Families,
Department of Health and Human Services (Parts 300—399)
IV Office of Refugee Resettlement, Administration for Children and
Families, Department of Health and Human Services (Parts
400—499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500—599)
VI National Science Foundation (Parts 600—699)
VII Commission on Civil Rights (Parts 700—799)
VIII Office of Personnel Management (Parts 800—899) [Reserved]
X Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (Parts
1000—1099)
XI National Foundation on the Arts and the Humanities (Parts
1100—1199)
XII Corporation for National and Community Service (Parts 1200—
1299)
XIII Office of Human Development Services, Department of Health
XVI Legal Services Corporation (Parts 1600—1699)
XVII National Commission on Libraries and Information Science
(Parts 1700—1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)
XXI Commission on Fine Arts (Parts 2100—2199)
XXIII Arctic Research Commission (Part 2301)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400—
2499)
XXV Corporation for National and Community Service (Parts 2500—

2599)
138
Title 46—Shipping
Chap.
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Maritime Administration, Department of Transportation (Parts
200—399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland
Security (Parts 400—499)
IV Federal Maritime Commission (Parts 500—599)
Title 47—Telecommunication
I Federal Communications Commission (Parts 0—199)

II Office of Science and Technology Policy and National Security
Council (Parts 200—299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300—399)
IV National Telecommunications and Information Administration,
Department of Commerce, and National Highway Traffic Safe-
ty Administration, Department of Transportation (Parts 400—
499)
Title 48—Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1—99)

2 Defense Acquisition Regulations System, Department of Defense
(Parts 200—299)
3 Health and Human Services (Parts 300—399)
4 Department of Agriculture (Parts 400—499)
5 General Services Administration (Parts 500—599)
6 Department of State (Parts 600—699)
7 Agency for International Development (Parts 700—799)
8 Department of Veterans Affairs (Parts 800—899)
9 Department of Energy (Parts 900—999)
10 Department of the Treasury (Parts 1000—1099)
12 Department of Transportation (Parts 1200—1299)
13 Department of Commerce (Parts 1300—1399)
14 Department of the Interior (Parts 1400—1499)
15 Environmental Protection Agency (Parts 1500—1599)
16 Office of Personnel Management, Federal Employees Health
Benefits Acquisition Regulation (Parts 1600—1699)
17 Office of Personnel Management (Parts 1700—1799)
18 National Aeronautics and Space Administration (Parts 1800—
1899)
19 Broadcasting Board of Governors (Parts 1900—1999)
20 Nuclear Regulatory Commission (Parts 2000—2099)
21 Office of Personnel Management, Federal Employees Group Life
Insurance Federal Acquisition Regulation (Parts 2100—2199)
23 Social Security Administration (Parts 2300—2399)
24 Department of Housing and Urban Development (Parts 2400—

2499)
139
Title 48—Federal Acquisition Regulations System—Continued
Chap.
25 National Science Foundation (Parts 2500—2599)

28 Department of Justice (Parts 2800—2899)
29 Department of Labor (Parts 2900—2999)
30 Department of Homeland Security, Homeland Security Acquisi-
tion Regulation (HSAR) (Parts 3000—3099)
34 Department of Education Acquisition Regulation (Parts 3400—
3499)
51 Department of the Army Acquisition Regulations (Parts 5100—
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200—
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement [Reserved]
54 Defense Logistics Agency, Department of Defense (Parts 5400—
5499)
57 African Development Foundation (Parts 5700—5799)
61 Civilian Board of Contract Appeals, General Services Adminis-
tration (Parts 6100—6199)
63 Department of Transportation Board of Contract Appeals (Parts
6300—6399)
99 Cost Accounting Standards Board, Office of Federal Procure-
ment Policy, Office of Management and Budget (Parts 9900—
9999)
Title 49—Transportation
SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION

(PARTS 1—99)
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De-
partment of Transportation (Parts 100—199)
II Federal Railroad Administration, Department of Transportation
(Parts 200—299)
III Federal Motor Carrier Safety Administration, Department of
IV Coast Guard, Department of Homeland Security (Parts 400—499)
V National Highway Traffic Safety Administration, Department of
VI Federal Transit Administration, Department of Transportation
(Parts 600—699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts
700—799)
VIII National Transportation Safety Board (Parts 800—999)
X Surface Transportation Board, Department of Transportation
(Parts 1000—1399)
XI Research and Innovative Technology Administration, Depart-
ment of Transportation [Reserved]
XII Transportation Security Administration, Department of Home-

land Security (Parts 1500—1699)
140
Title 50—Wildlife and Fisheries
Chap.
I United States Fish and Wildlife Service, Department of the Inte-

rior (Parts 1—199)
II National Marine Fisheries Service, National Oceanic and Atmos-
pheric Administration, Department of Commerce (Parts 200—
299)
III International Fishing and Related Activities (Parts 300—399)
IV Joint Regulations (United States Fish and Wildlife Service, De-
partment of the Interior and National Marine Fisheries Serv-
ice, National Oceanic and Atmospheric Administration, De-
partment of Commerce); Endangered Species Committee Reg-
ulations (Parts 400—499)
V Marine Mammal Commission (Parts 500—599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts
600—699)
CFR Index and Finding Aids
Subject/Agency Index
List of Agency Prepared Indexes
Parallel Tables of Statutory Authorities and Rules
List of CFR Titles, Chapters, Subchapters, and Parts
141
(Revised as of January 1, 2011)
CFR Title, Subtitle or

Agency Chapter
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advanced Research Projects Agency 32, I
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 22, II
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agriculture Department 2, IV; 5, LXXIII
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture. 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII, L
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV, L
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII, L
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force Department 32, VII
Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI
Alcohol and Tobacco Tax and Trade Bureau 27, I
Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII

Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
143
Agency Chapter
Architectural and Transportation Barriers Compliance Board 36, XI
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind or Severely Disabled, Committee for Purchase From 41, 51
People Who Are
Broadcasting Board of Governors 22, V
Bureau of Ocean Energy Management, Regulation, and 30, II
Enforcement
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce Department 44, IV
Census Bureau 15, I
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Fishery Conservation and Management 50, VI
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV, VI
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Productivity, Technology and Innovation, Assistant 37, IV
Secretary for
Secretary of Commerce, Office of 15, Subtitle A
Technology, Under Secretary for 37, V
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Office 37, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Court Services and Offender Supervision Agency for the 28, VIII
District of Columbia
Customs and Border Protection Bureau 19, I
Defense Contract Audit Agency 32, I

Defense Department 5, XXVI; 32, Subtitle A;
40, VII
144
Agency Chapter
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III, 48,
51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Human Resources Management and Labor Relations 5, XCIX
Systems
National Imagery and Mapping Agency 32, I
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
District of Columbia, Court Services and Offender Supervision 28, VIII
Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 5, LIII
Bilingual Education and Minority Languages Affairs, Office 34, V
of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 5, XXIII; 10, II, III, X
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Environmental Quality, Council on 40, V

Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
145
Agency Chapter
National Drug Control Policy, Office of 21, III
National Security Council 32, XXI; 47, 2
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United States 15, XX
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Aviation Administration 14, I
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal Acquisition 48, 21
Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Housing Finance Board 12, IX
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Fine Arts, Commission on 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the United States 45, V
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV

Foreign-Trade Zones Board 15, IV
Forest Service 36, II
146
Agency Chapter
General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A,
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Food and Drug Administration 21, I
Human Development Services, Office of 45, XIII
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 6, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Immigration and Naturalization 8, I
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors of 24, XXIV
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Housing Enterprise Oversight, Office of 12, XVII
Government National Mortgage Association 24, III
Housing—Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle A, VII
Housing—Federal Housing Commissioner, Office of Assistant 24, II, VIII, X, XX
Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Human Development Services, Office of 45, XIII
Immigration and Customs Enforcement Bureau 19, IV
Immigration and Naturalization 8, I

Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
147
Agency Chapter
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National Archives and 32, XX
Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior Department
American Indians, Office of the Special Trustee 25, VII
MBureau of Ocean Energy Management, Regulation, and 30, II
Enforcement
Endangered Species Committee 50, IV
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Reclamation, Bureau of 43, I
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, Office of 30, VII
Internal Revenue Service 26, I
International Boundary and Water Commission, United States 22, XI
and Mexico, United States Section
International Development, United States Agency for 22, II
International Development Cooperation Agency, United 22, XII
States
International Fishing and Related Activities 50, III
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan–United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 2, XXVII; 5, XXVIII; 28,
I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II
Drug Enforcement Administration 21, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United 45, V
States
Immigration Review, Executive Office for 8, V
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department 5, XLII
Employee Benefits Security Administration 29, XXV

Employees’ Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
148
Agency Chapter
Employment Standards Administration 20, VI
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Office of Workers’ Compensation Programs 20, VII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Wage and Hour Division 29, V
Workers’ Compensation Programs, Office of 20, I
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Copyright Royalty Board 37, III
Local Television Loan Guarantee Board 7, XX
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Millenium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in National 36, XVI
Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36,
XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Council on Disability 34, XII
National Counterintelligence Center 32, XVIII
National Credit Union Administration 12, VII
National Crime Prevention and Privacy Compact Council 28, IX
National Drug Control Policy, Office of 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute for Literacy 34, XI
National Institute of Food and Agriculture. 7, XXXIV
National Institute of Standards and Technology 15, II
National Intelligence, Office of Director of 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV, VI
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
149
Agency Chapter
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
National Security Council 32, XXI
National Security Council and Office of Science and 47, II
Technology Policy
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Transportation Safety Board 49, VIII
Natural Resources Conservation Service 7, VI
Natural Resource Revenue, Office of 30, XII
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy Department 32, VI
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Offices of Independent Counsel 28, VI
Office of Workers’ Compensation Programs 20, VII
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Overseas Private Investment Corporation 5, XXXIII; 22, VII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, XXXV; 45, VIII
Human Resources Management and Labor Relations 5, XCIX
Systems, Department of Defense
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Pipeline and Hazardous Materials Safety Administration 49, I
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President’s Commission on White House Fellowships 1, IV
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Procurement and Property Management, Office of 7, XXXII
Productivity, Technology and Innovation, Assistant 37, IV
Secretary
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Recovery Accountability and Transparency Board 4, II
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology Administration 49, XI
Rural Business-Cooperative Service 7, XVIII, XLII, L
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV, L

Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII, L
150
Agency Chapter
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National 47, II
Security Council
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers’ and Airmen’s Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
Special Inspector General for Iraq Reconstruction 5, LXXXVII
State Department 2, VI; 22, I; 28, XI
Surface Mining Reclamation and Enforcement, Office of 30, VII
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Technology Policy, Assistant Secretary for 37, IV
Technology, Under Secretary for 37, V
Tennessee Valley Authority 5, LXIX; 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Contract Appeals, Board of 48, 63
Emergency Management and Assistance 44, IV
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Surface Transportation Board 49, X
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury Department 5, XXI; 12, XV; 17, IV;
31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions Fund 12, XVIII
Comptroller of the Currency 12, I
Engraving and Printing, Bureau of 31, VI
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision, Office of 12, V

Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint Commission 22, IV
151
Agency Chapter
United States and Mexico, International Boundary and Water 22, XI
Commission, United States Section
Utah Reclamation Mitigation and Conservation Commission 43, III
Veterans Affairs Department 2, VIII; 38, I
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers’ Compensation Programs, Office of 20, I
World Agricultural Outlook Board 7, XXXVIII
152
List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations that
were made by documents published in the FEDERAL REGISTER since Jan-
uary 1, 2001, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to FEDERAL REGISTER
pages. The user should consult the entries for chapters and parts as well
as sections for revisions.
For the period before January 1, 2001, see the ‘‘List of CFR Sections Af-
fected, 1949–1963, 1964–1972, 1973–1985, and 1986–2000,’’ published in 11 sepa-
rate volumes.
2001 4 CFR—Continued 68 FR
Page
No regulations published Chapter I—Continued
28.10 Heading and (b)(1) revised;
2002 (a) amended .............................. 69298
28.11 Heading, (c) and (d)(2) re-
4 CFR 67 FR vised; (e) amended..................... 69298
Page
28.12 (c), (d) and (g) revised; (h)
Chapter I and (i) added ............................. 69299
21.0 (f) and (g) revised; (h) 28.13 Revised ................................ 69299
added........................................ 79835 28.15 Amended .............................. 69299
21.1 (c) introductory text and (1) 28.17 Heading, (a)(2), (3), (b)(1), (2),
revised ..................................... 79835 (c)(1), (2) and (3) revised ............. 69299
21.3 (a) and (i) revised .................... 79835 28.18 Heading, (a) through (d) in-
21.4 (b) revised .............................. 79835 troductory text, (e) and (f) re-
21.5 Introductory text, (b)(2), (c) vised......................................... 69300
and (d) revised; (i) and (j) 28.19 (a) revised............................. 69300
added........................................ 79835 28.20 (b)(1) heading and (2) head-
21.7 (c) and (g) revised ................... 79836 ing removed; (b)(1) and (2)
21.8 (e) revised .............................. 79836 amended................................... 69300
28.21 Revised ................................ 69300
21.10 (d)(3) removed; (d)(4) redes-
28.22 (b)(12) amended..................... 69301
ignated as (d)(3); (e) revised ....... 79836
28.24 (a) introductory text and (2)
21.11 (b) revised............................. 79836
revised; (b) amended ................. 69301
21.12 (b) revised............................. 79836 28.25 (a) amended .......................... 69301
28.27 (c) amended .......................... 69301
2003 28.28 (a) amended .......................... 69301
4 CFR 68 FR
28.29 (a)(2) revised ......................... 69301
Page 28.41 (b) amended .......................... 69301
28.42 (d)(5) amended ...................... 69301
Chapter I
28.46 (b) revised; (d) removed ......... 69301
27.1 Amended................................ 69297 28.56 (f) amended........................... 69301
27.3 Amended................................ 69297 28.57 (b) revised............................. 69301
28.1 (a) and (b) revised; (c) amend- 28.61 (b) introductory text and (d)
ed ............................................. 69297 amended................................... 69302
28.2 (a) introductory text, (b)(1) 28.62 Redesignated as 28.63; new
and (3) revised ........................... 69298 28.62 added ................................ 69302
28.3 Revised .................................. 69298 28.63 Redesignated from 28.62 ........ 69302
28.4 (d) added ................................ 69298 28.66 Revised ................................ 69302

28.8 (a) revised .............................. 69298 28.69 Revised ................................ 69302
153
4 CFR (1–1–11 Edition)
4 CFR—Continued 68 FR 2006
Page
Chapter I—Continued No regulations published
28.86 Removed .............................. 69302
28.87 (a), (b) and (g) introductory 2007
text revised .............................. 69302 4 CFR 72 FR
28.88 (a), (b) and (d) revised; (e) Page
and (f) added ............................. 69302 Chapter I
28.89 Revised ................................ 69302 81.5 Heading revised; (b) redesig-
28.95 (a) and (d) revised .................. 69302 nated as (c); new (b) added ......... 50643
28.97 (b) introductory text, (d) 81.6 (a) revised .............................. 50644
and (e) revised; (c) amended....... 69303
28.98 (d) and (e)(1) revised .............. 69303 2008
28.99 Heading and (b)(1) amend- 4 CFR 73 FR
ed ............................................. 69303 Page
28.101 Revised ............................... 69303 Chapter I
28.112 (a)(3) revised ....................... 69303 21 Nomenclature change............... 32429
28.113 (a)(7) revised; (b) and (c) 21.0 (e) through (h) redesignated
amended................................... 69303 as new (d) through (g); (a)(2),
28.121 (c) amended......................... 69303 (b)(2), (c) and new (f) re-
28.122 Heading and (e) amend- vised......................................... 32429
ed ............................................. 69303 21.1 (g) revised .............................. 32430
28.123 (a)(4) revised; (c) amend- 21.3 (c), (d) and (j) revised .............. 32430
ed ............................................. 69303 21.4 (b) and (d) revised ................... 32430
28.131 (d) amended......................... 69303 21.5 (b)(1) revised .......................... 32430
28.132 (e) amended......................... 69304 21.6 Revised .................................. 32430
21.12 (a) revised............................. 32430
28.133 (a) through (e) revised ......... 69304
21.14 (c) revised ............................. 32430
28.146 (a) amended......................... 69304 22 Added; interim ......................... 36258
28.160—28.161 (Subpart K) Regulation at 73 FR 36258 eff.
Added ....................................... 69304 date corrected; interim .............36789
29 Removed .................................. 69305 22.3 (b)(5) revised .......................... 60610
81 Revised .................................... 33832 22.8 (k) added ................................ 60610
22.13 (a)(1)(A) and (B) redesig-
2004 nated as (a)(1)(i) and (ii) ............ 60610
22.15 Revised ................................ 60610
No regulations published 22.16 (a) revised............................. 60610
22.28 Revised ................................ 60610
2005
4 CFR 70 FR
2009
Page 4 CFR 74 FR
Page
Chapter I
Chapter I Heading revised; no- Chapter II
menclature change ................... 17583 Chapter II Established ................. 38503
21.0 (a) and (b) redesignated as 200 Added ..................................... 60127
(a)(1) and (b)(1); new (a)(2) and 201 Added ..................................... 60132
202 Added ..................................... 38503
(b)(2) added ............................... 19681
21.5 (k) added ................................ 19681
2010
4 CFR 75 FR
Page
Chapter II
200.17 Added ................................. 37287
Æ
154

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Title 4

Revised as of January 1, 2011

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PRINTING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

Phone: toll-free (866) 512-1800; DC area (202) 512-1800

Chapter I—Government Accountability Office ................................ 3

Chapter II—Recovery Accountability and Transparency Board ..... 101

Table of CFR Titles and Chapters ....................................................... 123

Alphabetical List of Agencies Appearing in the CFR ......................... 143

List of CFR Sections Affected ............................................................. 153

To cite the regulations in

lishing in the CFR are also included in this volume.

Title 4—ACCOUNTS is composed of one volume. This volume contains chapter

CHAPTER I—Government Accountability Office ..................... 2

EDITORIAL NOTE: Nomenclature changes to chapter I appear at 70 FR 17583, Apr. 7, 2005.

SUBCHAPTER A—PERSONNEL SYSTEM

21 Bid protest regulations ........................................... 18

SUBCHAPTER E—STANDARDIZED FISCAL PROCEDURES

75 Certificates and approvals of basic vouchers and

81 Public availability of Government Accountability

PART 2—PURPOSE AND GENERAL promoted, rewarded, and retained on

honest and productive workers. In a should be corrected, and employees

ment, oral or written, with respect to applicant for employment as a reprisal

(1) A disclosure of information by an tion from the Congress or the taking of

4.2 Performance appraisal.

GAO may reduce in grade/pay level or recordkeeping requirements, such as

discrimination complaints. In these (3) Pay rates be comparable with pri-

the employee immediately before the as the Comptroller General considers

Leave’’ apply to Government Account-

program of evaluation and oversight of ment or agency conducts official busi-

place, site, installation, building, (7) Sign a political petition as an in-

(8) Make a financial contribution to a (2) Organizing or reorganizing a polit-

who is the employer or employing au- Chevy Chase View

the employee if written, a summary insurance apply to Government Ac-

cluding those related to equal employment

representative’s authority to have been

PART 21—BID PROTEST offerors who appear to have a substan-

by hand delivery, mail, commercial (7) Specifically request a ruling by

GAO reserves the right to disregard position of such sanctions as GAO

3553(c) and (d).

§ 21.7 Hearings. § 21.8 Remedies.

22.3 Appeals—How Taken [Rule 3].

indicating specific contractual docu- of one set of consecutively numbered

or other statement that is submitted party may be accepted by the Board as

properly responds and establishes that the submission provided by e-mail to

vided to the Board by e-mail at engage in voluntary discovery proce-

or more of the following methods: (e) Discovery objections. Unless other-

sions for protecting the secrecy of con- a discovery request is incomplete or

conduct applicable to such individual troduction of relevant portions of depo-

presentation of such evidence. Stipula- question against the party responsible

(n) Copies. Copies of documents may larations, unless authorized by the

parties for settlement discussions, or motion to the Board, or on the Board’s

rule must state with specificity the § 22.27 Ex Parte Communications

25.1 Applicability and governing laws.

§ 25.16 Penalties. § 27.3 The General Counsel.

28.101 Termination of Board proceedings

Subpart E—Special Procedures; spect to employment practices within

FR 69298, Dec. 12, 2003]

Subpart B—Procedures before the Board where factual issues